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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-10-31 |
| TX | RA | APPROVED_RES | 2023-10-31 |
| VT | RA | APPROVED | 2023-10-31 |
Branch Locations
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Sunderland, VT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hornor Townsend & Kent Inc | Horsham | PA | 05/2010 | 10/2023 |
| Penn Mutual Life Insurance Co | Horsham | PA | 05/2010 | Present |
| Kestra Investment Services, Llc | Wilton | CT | 10/2023 | Present |
| Kestra Advisory Services, Llc | Wilton | CT | 10/2023 | Present |
BN: BORGER FINANCIAL POSITION: RR NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/01/2023 ADDRESS: 387 Rutland Ave, Teaneck NJ 07666 DESCRIPTION: Registered representative BN: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/01/2023 ADDRESS: 5707 Southwest Parkway, Building 2, ste 400, Austin TX 78735 DESCRIPTION: IAR Business Name: RMS FINANCIAL POSITION: owner NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2008 ADDRESS: 93 Elizabeth Court, Sunderland VT 05250 DESCRIPTION: I use this business to run my expenses and bookkeeping. I hire an outside CPA to upload all activity. Bus Name: ROVING HORSE RANCH & RESCUE POSITION: co-owner NATURE: Business is a 501c3 that operates to rescue horses from kill pens INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 93 Elizabeth Court, Sunderland VT 05250, United States DESCRIPTION: To find, purchase and rehab horses that are headed to slaughter.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2001-02-12 |
| S65 | Uniform Investment Adviser Law Examination | 1999-10-06 |
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