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5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MT | RA | APPROVED | 2021-09-08 |
Branch Locations
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735 • United States
3819 Stephens Avenue Suite 101, Missoula, MT 59801 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Llc | Missoula | MT | 02/2015 | 09/2021 |
| Kestra Private Wealth Services Llc | Missoula | MT | 09/2021 | Present |
| Kestra Investment Services Llc | Missoula | MT | 09/2021 | Present |
WestPeak Private Wealth: investment-related, 3819 Stephens Avenue, Suite 101, Missoula, MT 59801. Employee, Senior Client Associate, start date 9/08/2021, 40 hours/week. Operational & administrative duties. WEST PEAK PRIVATE WEALTH POSITION: Registered client assocate NATURE: Registered Field Assistant INVESTMENT RELATED: Yes NUMBER OF HOURS: 152 SECURITIES TRADING HOURS: 132 START DATE: 09/08/2021 ADDRESS: 3819 Stephens Avenue Suite 101, Missoula MT 59801, United States DESCRIPTION: Providing operational and administrative duties for the firm. MERRITT K. HICKS POSITION: Notary NATURE: Notary INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 7 START DATE: 02/05/2015 ADDRESS: 125 Bank Street, Suite 700, Missoula MT 59802, United States DESCRIPTION: Acting as witness, taking oaths as to the truth in the document, verifying identities.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-10-06 |
| S63 | Uniform Securities Agent State Law Examination | 1989-05-24 |
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