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Stephen Garrett Smith

Kestra Investment Management, LLC.

Austin, TX

Lakeway, TX

Kestra Advisory Services, LLC

Austin, TX

Lakeway, TX

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Current Employers
Kestra Investment Management, Llc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-10-07
  • TX RA
    APPROVED
    Since 2024-10-07

Branch Locations

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

Lakeway, TX • United States

Kestra Advisory Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-01-29
  • TX RA
    APPROVED
    Since 2020-01-29

Branch Locations

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

Lakeway, TX • 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
1St Global Capital Corp. Dallas TX 08/2007 10/2019
1St Global Advisors, Inc. Dallas TX 08/2007 10/2019
Avantax Insurance Services Dallas TX 08/2007 01/2020
Avantax Investment Services, Inc. Dallas TX 10/2019 01/2020
Avantax Advisory Services Irving TX 10/2019 01/2020
Kestra Investment Services, Llc Austin TX 01/2020 Present
Kestra Advisory Services, Llc Austin TX 01/2020 Present
Kestra Investment Management, Llc Austin TX 01/2020 Present
  • 08/2007 → 10/2019
    1St Global Capital Corp.
    Dallas, TX
  • 08/2007 → 10/2019
    1St Global Advisors, Inc.
    Dallas, TX
  • 08/2007 → 01/2020
    Avantax Insurance Services
    Dallas, TX
  • 10/2019 → 01/2020
    Avantax Investment Services, Inc.
    Dallas, TX
  • 10/2019 → 01/2020
    Avantax Advisory Services
    Irving, TX
  • 01/2020 → Present
    Kestra Investment Services, Llc
    Austin, TX
  • 01/2020 → Present
    Kestra Advisory Services, Llc
    Austin, TX
  • 01/2020 → Present
    Kestra Investment Management, Llc
    Austin, TX
Previous Registrations
  • 2019-10-25 → 2020-01-13
    Avantax Advisory Services
    Irving, TX
  • 2007-08-13 → 2019-10-25
    1St Global Advisors Inc
    Dallas, TX
    Dallas, TX
  • 2007-07-18 → 2007-08-08
    Hilltop Securities Asset Management, Llc
    Dallas, TX
  • 2006-05-19 → 2007-07-18
    1St Global Advisors Inc
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-01-29
  • S66 Uniform Combined State Law Examination
    2001-01-29

View on SEC IAPD

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