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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-30 |
| S63 | Uniform Securities Agent State Law Examination | 1988-07-22 |
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