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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
WI RA APPROVED 2016-04-19
  • WI RA
    APPROVED
    Since 2016-04-19

Branch Locations

20975 Swenson Drive Ste #225, Waukesha, WI 53186 • 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 Investment Services, Llc Waukesha WI 08/2012 Present
Kestra Advisory Services, Llc Waukesha WI 04/2016 Present
Other Businesses

Business Name: Integrity Retirement Plan Services, LLC Investment Related: No Address: 20975 Swenson Drive Suite 125 Waukesha WI 53186 Nature of Business: Other TPA Position, Title or Relationship: Owner Start Date: 1/2/2013 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Oversee work production of employee administrators.Business Name: Integrity Wealth Management, Inc. Investment Related: Yes Address: 20975 Swenson Drive Suite 125 Waukesha WI 53186 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: Owner Start Date: 1/1/2013 Hours per month: 81% - 90% (129 - 144 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Client management and gather new business.Business Name: Integrity Wealth Mangement, Inc. Investment Related: Yes Address: 20975 Swenson Drive Suite 125 Waukesha WI 53186 Nature of Business: Insurance Position, Title or Relationship: Sales of new personal insurance lines to individuals. Start Date: 1/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Sales and ServicesBusiness 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: Robertson Ryan Financial Services, Inc. Investment Related: Yes Address: 20975 Swenson drive, Suite 125 Waukesha WI 53186 Nature of Business: Consulting; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Owner, sales and service provider. Along with my Business Partner Todd Kreitzman (Kestra REP as well). Start Date: 5/1/2019 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Sales and service.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-05-20
S63 Uniform Securities Agent State Law Examination 2001-10-01
  • S66 Uniform Combined State Law Examination
    2014-05-20
  • S63 Uniform Securities Agent State Law Examination
    2001-10-01

View on SEC IAPD

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