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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
MI RA APPROVED 2017-04-07
  • MI RA
    APPROVED
    Since 2017-04-07

Branch Locations

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

Prudenville, MI • United States

6868 W Houghton Lake Dr, Houghton Lake, MI 48629 • 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
Lpl Financial Llc Cadillac MI 04/2008 02/2017
The Huntington Investment Company Cadillac MI 02/2017 Present
Kestra Investment Services, Llc Houghton Lake MI 04/2017 Present
Kestra Advisory Services, Llc Houghton Lake MI 04/2017 Present
Previous Registrations
  • 2017-02-01 → 2017-04-10
    Cadillac, MI
  • 2010-03-10 → 2017-02-01
    Traverse City, MI
    Flint, MI
    San Diego, CA
    Marion, MI
    Evart, MI
    Manton, MI
    Falmouth, MI
    Leroy, MI
    Cadillac, MI
    Mesick, MI
    Cadillac, MI
    Bellaire, MI
    Traverse City, MI
    Traverse City, MI
    Flint, MI
    Fenton, MI
    Fenton, MI
    Linden, MI
    Holly, MI
    Flint, MI
    Grayling, MI
    Flint, MI
    Flint, MI
    Otisville, MI
    New Lothrop, MI
    Durand, MI
    Flint, MI
    Flint, MI
    Flint, MI
    Gaylord, MI
    Cadillac, MI
Other Businesses

Name: Brass Ring Wealth Management Inv Rel: Yes Address: 117 Tuscaroras Trl. Prudenville MI 48651 NOB: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position: Investment Advisor Representative Start Date: 4/7/2017 Hours per month: 81% - 90% (129 - 144 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) DESC: Full service investment advisor and registered representative. Name: Todd W. Reno Inv Rel: No Address: 6868 W. Houghton Lake Dr. Houghton Lake MI 48629 NOB: Real Estate Position: owner Start Date: 9/1/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: maintain commercial property Name: Todd W. Reno Inv Rel: No Address: 6868 W. Houghton Lake Dr. Houghton Lake MI 48629 NOB: Real Estate Position: owner Start Date: 9/21/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) DESC: provide office space Name: Houghton Lake Financial Inv Rel: Yes Address: 6868 W. Houghton Lake Dr. Houghton Lake MI 48629 NOB: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position: Financial Advisor and Owner Start Date: 11/15/2017 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) DESC: Provide investment services and products to retail investors in an office building that I own.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-07-27
S63 Uniform Securities Agent State Law Examination 1996-07-30
  • S65 Uniform Investment Adviser Law Examination
    2001-07-27
  • S63 Uniform Securities Agent State Law Examination
    1996-07-30

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