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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 | 2023-11-01 |
| GA | RA | APPROVED | 2018-10-01 |
Branch Locations
3215 South Cherokee Lane Ste. 1630, Woodstock, GA 30188 • 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 |
|---|---|---|---|---|
| Kovack Securities, Inc. | Ft. Lauderdale | FL | 07/2009 | 10/2018 |
| Kovack Advisors, Inc. | Ft. Lauderdale | FL | 07/2009 | Present |
| Kestra Investment Services, Llc | Woodstock | GA | 10/2018 | Present |
| Kestra Advisory Services, Llc | Woodstock | GA | 10/2018 | Present |
Business Name: Strategic Stewardship Investment Related: Yes Address: 3215 South Cherokee Lane, Ste. 1630 Woodstock GA 30188 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: Financial Advisor Start Date: 10/1/2018 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Meet with clients, build and illustrate financial plans, manage client investment accounts.Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Pkwy Bldg. 2 Ste. 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Start Date: 10/1/2018 Hours per month: 81% - 90% (129 - 144 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Working with clients in managing their investments.Business Name: Lending Club IRA Investment Related: Yes Address: 595 Market Street, Suite 200 San Francisco CA 94105 Nature of Business: Loan/Mortgage/Lending Related Position, Title or Relationship: Account holder Start Date: 11/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Don't have any duties. Just have an IRA there that's invested in peer to peer lending notes.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-02-20 |
| S63 | Uniform Securities Agent State Law Examination | 2002-03-15 |
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