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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
TX RA APPROVED_RES 2024-05-15
UT RA APPROVED 2016-04-28
  • TX RA
    APPROVED_RES
    Since 2024-05-15
  • UT RA
    APPROVED
    Since 2016-04-28

Branch Locations

489 W. South Jordan Parkway Suite 310, South Jordan, UT 84095 • United States

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • 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
Kestra Advisory Services, Llc Lehi UT 04/2016 Present
Kestra Investment Services, Llc Lehi UT 10/2010 Present
Previous Registrations
  • 2010-02-01 → 2010-10-04
    Financial Telesis Inc
    San Rafael, CA
    Salt Lake City, UT
    Salt Lake City, UT
Other Businesses

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 servicesBusiness Name: NFP Investment Related: Yes Address: 4685 South Highland Drive, Suite 201 Salt Lake City UT 84117 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Director Start Date: 8/1/2016 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: I may cross-sell insurance business periodicallyBusiness Name: NFP Corporate Services (UT) NFP Retirement, WellCents Investment Related: Yes Address: 4685 South Highland Drive, Suite 201 Sandy UT 84092 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: VP Start Date: 10/1/2016 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Retirement plan advisory, educatorBusiness Name: Hunts Co Investment Related: No Address: 3529 N. Eiger Mountain FLAGSTAFF AZ 86004 Nature of Business: Real Estate Position, Title or Relationship: Secretary Start Date: 11/14/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: provide advice where needed.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-01-29
S63 Uniform Securities Agent State Law Examination 2008-09-03
  • S65 Uniform Investment Adviser Law Examination
    2010-01-29
  • S63 Uniform Securities Agent State Law Examination
    2008-09-03

View on SEC IAPD

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