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5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-01-06 |
| CA | RA | APPROVED | 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
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2021-12-29 |
| S65 | Uniform Investment Adviser Law Examination | 2004-05-12 |
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