Best Investors Account Sign in
Current Employers
Kestra Advisory Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-01-05
IL RA APPROVED 2016-04-19
  • TX RA
    APPROVED_RES
    Since 2023-01-05
  • IL RA
    APPROVED
    Since 2016-04-19

Branch Locations

6833 Stalter Drive Ste 200, Rockford, IL 61108 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Kestra Advisory Services, Llc Rockford IL 04/2016 Present
Kestra Investment Services, Llc Rockford IL 09/2004 Present
Other Businesses

Business Name: Insurance Agent Investment Related: Yes Address: 929 S Alpine Road Suite 402 Rockford IL 61108 Nature of Business: Insurance Position, Title or Relationship: Agent Start Date: 9/1/2004 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: When clients have a need for Insurance, I try and match the best product for thier needs Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest 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: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: NFP Corporate Services (IL) Investment Related: Yes Address: 6833 Stalter Drive Suite 200 Rockford IL 61108 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: Employee Start Date: 1/1/2012 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: reg rep Business Name: INSURANCE AGENT POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 7 START DATE: 09/01/2017 ADDRESS: 6833 Stalter Drive, suite 200, Rockford, IL IL 61107 DESCRIPTION: When clients have a need for Insurance, I try and match the best product for thier needs

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-14
S63 Uniform Securities Agent State Law Examination 1989-11-07
  • S66 Uniform Combined State Law Examination
    2005-11-14
  • S63 Uniform Securities Agent State Law Examination
    1989-11-07

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Rockford, IL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor