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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-05-08 |
| TX | RA | APPROVED_RES | 2024-05-02 |
Branch Locations
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
8901 E Pima Center Parkway Suite 205, Scottsdale, AZ 85258 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kevin Dick Investment Management Group | Scottsdale | AZ | 09/2009 | 05/2024 |
| Commonwealth Financial Network | Waltham | MA | 09/2009 | 05/2024 |
| Kestra Advisory Services, Llc | Scottsdale | AZ | 05/2024 | Present |
| Kestra Investment Servives, Llc | Scottsdale | AZ | 05/2024 | Present |
Business Name: KEVIN DICK INVESTMENT MANAGEMENT GROUP, LLC POSITION: Member NATURE: LLC to hold purchase assets INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/15/2009 ADDRESS: 8901 E. Pima Center Parkway, Suite 205, SCOTTSDALE AZ 85258, United States DESCRIPTION: Receiving purchase payments, distributing assets to members (ourselves) Business Name: FRASSINO HOLDINGS, LLC POSITION: Member NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/18/2021 ADDRESS: 9136 N 81st St, Scottsdale AZ 85258, United States DESCRIPTION: Coordinating maintenance of property when needed, collecting rents Business Name: WILLINGLEAF HOLDINGS, LLC POSITION: Member NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/15/2020 ADDRESS: 9136 N 81st St, Scottsdale AZ 85258, United States DESCRIPTION: Coordinating maintenance and collecting rents Business Name: KESTRA ADVISORY SERVICES, LLC POSITION: CEO, Managing Director NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 05/01/2024 ADDRESS: 5707 Southwest Parkway, Bldg 2, Ste 400, Austin TX 78735, United States DESCRIPTION: Advising clients, managing the business
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1997-09-12 |
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