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Current Employers
Kestra Advisory Services, Llc

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-04-25
  • TX RA
    APPROVED
    Since 2017-04-25

Branch Locations

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States

3336 Russell Circle, Plano, TX 75023 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Plano TX 12/2011 04/2017
Kestra Investment Services, Llc Plano TX 04/2017 Present
Kestra Advisory Services, Llc Plano TX 04/2017 Present
  • 12/2011 → 04/2017
    Lpl Financial
    Plano, TX
  • 04/2017 → Present
    Kestra Investment Services, Llc
    Plano, TX
  • 04/2017 → Present
    Plano, TX
Previous Registrations
Other Businesses

1. 12/16/2011: DBA ONLY - GENESIS FINANCIAL GROUP - PLANO TXBusiness Name: Genesis Financial Group Investment Related: Yes Address: 1400 Preston Road, Suite 335 Plano TX 75093 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Wealth Advisor Start Date: 4/18/2017 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Investment related activities associated with the functions of Registered Representative and Investment Advisor Representative.Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Soouthwest Parkway, Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/24/2017 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Investment Advisory ServicesBusiness Name: Whiffletree Neighborhood Association Investment Related: No Address: 3336 Russell Circle Plano TX 75023 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Board member, Treasurer Start Date: 1/1/2014 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Maintain financial records and maintain checking account

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-30
S63 Uniform Securities Agent State Law Examination 1988-07-22
  • S65 Uniform Investment Adviser Law Examination
    1999-10-30
  • S63 Uniform Securities Agent State Law Examination
    1988-07-22

View on SEC IAPD

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