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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-10-29 |
| FL | RA | APPROVED | 2024-10-16 |
Branch Locations
2424 N. Federal Hwy, Boca Raton, FL 33431 • United States
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gilman Ciocia, Inc | Boca Raton | FL | 02/2014 | 07/2022 |
| Abel | Boca Raton | FL | 02/2014 | 10/2024 |
| National Securities Corporation | Boca Raton | FL | 02/2014 | 07/2022 |
| B. Riley Wealth Management | Boca Raton | FL | 07/2022 | 10/2024 |
| B. Riley Wealth Advisors | Memphis | TN | 07/2022 | 10/2024 |
| Kestra Advisory Services Llc | Boca Raton | FL | 10/2024 | Present |
| Kestra Investment Services Llc | Boca Raton | FL | 10/2024 | Present |
Name: KESTRA ADVISORY SERVICES POS: IAR NOB: Investment advisory services through Kestra Advisory Services, LLC INV REL: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/01/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESC: IAR Name: WEALTH EMPOWERMENT POS: Producer agent NOB: Registered rep activities through Kestra Investment Services INV REL: Yes #OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/01/2024 ADDRESS: 2424 N. Federal Hwy, suite 400, Boca Raton FL 33431 DESC: sales of securities and insurance products and servicing clients long term NAME: MARCIMOUTH SPEECH AND LANGUAGE POSITION: no title just bookeeping NATURE: Book keeping INVESTMENT RELATED: No # OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/01/2025 ADDRESS: 12230 Forest Hill Blvd, Wellington FL 33414, United States DESCRIPTION: bookkeeping, keep track of income and out flows of monies and preparing documents and sending documents for tax preparation at end of year to tax preparer.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-07-02 |
| S65 | Uniform Investment Adviser Law Examination | 1998-02-06 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-11 |
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