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Employer firm

Kestra Advisory Services, LLC CRD 283330

$79.8B regulatory AUM 6,392 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Kestra Advisory Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2025-09-16
  • MN RA
    APPROVED
    Since 2025-09-16

Branch Locations

2483 15Th Street Nw Suite C, New Brighton, MN 55112 • United States

Maple Grove, MN • 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
Rmi Maple Grove MN 04/1985 09/2025
Commonwealth Financial Waltham MA 08/2002 09/2025
New Century Financial Group Maple Grove MN 08/2002 09/2025
Kestra Investment Services Llc New Brighton MN 09/2025 Present
Kestra Advisory Services Llc New Brighton MN 09/2025 Present
  • 04/1985 → 09/2025
    Rmi
    Maple Grove, MN
  • 08/2002 → 09/2025
    Commonwealth Financial
    Waltham, MA
  • 08/2002 → 09/2025
    New Century Financial Group
    Maple Grove, MN
  • 09/2025 → Present
    Kestra Investment Services Llc
    New Brighton, MN
  • 09/2025 → Present
    New Brighton, MN
Previous Registrations
Other Businesses

Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/16/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: NEW CENTURY GROUP, LLC POSITION: Vice President NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 08/01/1999 ADDRESS: 9214 Tewsbury Gate N, Maple Grove MN 55311, United States DESCRIPTION: Act as manager of property to collect rent and maintain books and records. Name: NEW CENTURY FINANCIAL GROUP, INC. POSITION: President NATURE: Pass through entity for DBA per phone call with rep. INVESTMENT RELATED: Yes # OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2002 ADDRESS: 9214 Tewsbury Gate N, Maple Grove MN 55311, United States DESCRIPTION: As President, 100% owner will manage expenses for securities related business while affiliated with Kestra. Name: SCHANY GROUP, LLC. POSITION: 4.87% owner NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/24/2011 ADDRESS: 22140 Oakdale Drive, Rogers MN 55374, United States DESCRIPTION: Participate with developer (phone calls and meetings) of properties to help navigate the sale of real estate owned by the LLC. Name: SCHANY FAMILY LIMITED PARTNERSHIP POSITION: Limited Partner NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/24/2011 ADDRESS: 22140 Oakdale Drive, Rogers MN 55374, United States DESCRIPTION: None Name: SCHANY LLC. POSITION: Manager NATURE: Consulting INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/19/2022 ADDRESS: 22140 Oakdale Drive, Rogers MN 55374, United States DESCRIPTION: Chief Manager/Chief Financial Manager, Schany LLC; private entity created to determine the amount & timing of distributions for familial limited partnership; Less than 1% time spent during business hours; Not conducted at branch; Investment related Name: TREOWTH WEALTH ADVISORS POSITION: Financial Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 09/16/2025 ADDRESS: 2483 15th Street NW, STE C, New Brighton MN 55112, United States DESCRIPTION: Information gathering and assisting in the implementation of financial plans with investment recommendation based on goals, risk tolerance and investment objectives. NAME: GLADSTONE GROUP, LLC POSITION: Member NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2025 ADDRESS: 9214 Tewsbury Gate N, Maple Grove MN 55311, United States DESCRIPTION: Property management and collecting for deposit rental income.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-09-10
  • S66 Uniform Combined State Law Examination
    1998-09-10

View on SEC IAPD

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