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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
CO RA APPROVED 2016-04-20
  • CO RA
    APPROVED
    Since 2016-04-20

Branch Locations

3609 S. Wadsworth Blvd Ste. 320, Lakewood, CO 80235-2108 • 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 Lakewood CO 04/2016 Present
Kestra Investment Services, Llc Lakewood CO 06/1999 Present
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 services Business Name: M&D Financial Services Cris R. McBride Investment Related: Yes Address: 3609 S. Wadsworth Blvd. #320 Lakewood CO 80235 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: Owner and advisor Start Date: 9/6/1996 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Financial planning, security and insurance sales to clients.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-10-10
S63 Uniform Securities Agent State Law Examination 1996-12-23
  • S66 Uniform Combined State Law Examination
    2011-10-10
  • S63 Uniform Securities Agent State Law Examination
    1996-12-23
Designations

View on SEC IAPD

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