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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
PA RA APPROVED 2021-08-05
  • PA RA
    APPROVED
    Since 2021-08-05

Branch Locations

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

30 S. Pine Street Unit 2B, Doylestown, PA 18901 • United States

Wayne, PA • 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
Morgan Stanley Smith Barney Philadelphia PA 04/2011 04/2021
Kestra Investment Services, Llc Newtown PA 06/2021 Present
Kestra Advisory Services Llc Newtown PA 06/2021 Present
  • 04/2011 → 04/2021
    Morgan Stanley Smith Barney
    Philadelphia, PA
  • 06/2021 → Present
    Kestra Investment Services, Llc
    Newtown, PA
  • 06/2021 → Present
    Newtown, PA
Previous Registrations
  • 2011-04-12 → 2021-05-06
    Philadelphia, PA
    Bryn Mawr, PA
Other Businesses

Business Name: Automation Distribution Inc Investment Related: No Address: 2398 N Penn Rd Hatfield PA 19440 Nature of Business: Other Other/None of the Above Buys and sells products and services Position, Title or Relationship: Accounting Clerk and Office Manager Start Date: 4/13/2021 Hours per month: 61% - 70% (97 - 112 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: Assists in accounting and office administrationBusiness Name: Drake, Lehner and Morgan, LLC Investment Related: Yes Address: 41 University Drive Suite 400 Newtown PA 18940 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Employee Start Date: 7/25/2021 Hours per month: 61% - 70% (97 - 112 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: Registered Representative and Investment AdvisoryBusiness Name: Kestra Advisory Services Investment Related: Yes Address: 5707 Southwest Pkwy Bldg Ste 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Representative Start Date: 7/26/2021 Hours per month: 61% - 70% (97 - 112 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: Provide investment advisory services to clients

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-08-13
  • S66 Uniform Combined State Law Examination
    2001-08-13
Other Names
  • Laura Anne Schmitt
  • Laura Ann Schmitt
  • Laura Wassell
  • Laura Anne Wassell

View on SEC IAPD

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