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Current Employers
Kestra Private Wealth Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-01-06
CA RA APPROVED 2020-12-18
  • TX RA
    APPROVED_RES
    Since 2021-01-06
  • CA RA
    APPROVED
    Since 2020-12-18

Branch Locations

3570 Carmel Mountain Road Suite 150, San Diego, CA 92130 • United States

5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735 • 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
Hilltop Securities Inc. Del Mar CA 03/2001 11/2017
Kestra Private Wealth Services, Llc San Diego CA 12/2020 Present
Mcbee Advisors Encinitas CA 12/2017 12/2020
Kestra Investment Services, Llc San Diego CA 12/2020 Present
Previous Registrations
  • 2019-11-08 → 2020-12-18
    Encinitas, CA
  • 2008-12-10 → 2017-12-15
    San Diego, CA
    Del Mar, CA
  • 2004-05-13 → 2008-12-19
    M.L. Stern & Co., Llc.
    San Diego, CA
    San Diego, CA
Other Businesses

Business Name: Tidewater Financial Investment Related: Yes Address: 3570 Carmel Mountain Road Suite 150 San Diego CA 92130 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Registered Field Assistant; Investment Advisory services through an independent outside RIA Position, Title or Relationship: Investment Advisor Start Date: 12/7/2020 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Investment research and advisoryBusiness Name: Calle Dolores Investment Related: No Address: 27101 calle dolores capistrano beach CA 92624 Nature of Business: Real Estate Position, Title or Relationship: owner Start Date: 12/27/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: noneBusiness Name: Golondrina Investment Related: No Address: 9305 golodrina dr. la mesa CA 91941 Nature of Business: Real Estate Position, Title or Relationship: owner Start Date: 10/1/2009 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: none

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2021-12-29
S65 Uniform Investment Adviser Law Examination 2004-05-12
  • S63 Uniform Securities Agent State Law Examination
    2021-12-29
  • S65 Uniform Investment Adviser Law Examination
    2004-05-12

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