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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
TX RA APPROVED_RES 2023-07-27
NY RA APPROVED 2021-11-04
  • TX RA
    APPROVED_RES
    Since 2023-07-27
  • NY RA
    APPROVED
    Since 2021-11-04

Branch Locations

80 East Main St., Kings Park, NY 11754 • United States

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

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Allmerica Financial Hauppauge NY 06/1997 Present
Allmerica Investments, Inc. Hauppauge NY 07/1997 Present
Nationwide Provident Newark DE 12/2003 Present
Nfp Securities Inc Kinos Park NY 10/2007 Present
Kestra Investment Services, Llc Kings Park NY 10/2007 Present
Kestra Advisory Services, Llc Kings Park NY 11/2021 Present
  • 06/1997 → Present
    Allmerica Financial
    Hauppauge, NY
  • 07/1997 → Present
    Allmerica Investments, Inc.
    Hauppauge, NY
  • 12/2003 → Present
    Nationwide Provident
    Newark, DE
  • 10/2007 → Present
    Nfp Securities Inc
    Kinos Park, NY
  • 10/2007 → Present
    Kestra Investment Services, Llc
    Kings Park, NY
  • 11/2021 → Present
    Kings Park, NY
Other Businesses

Business Name: Main Street Financial Group Investment Related: Yes Address: 80 East Main Street Kings Park NY 11754 Nature of Business: Investment Advisory (RIA, IAR, Financial Planning, etc.) Position, Title or Relationship: Owner Start Date: 10/1/2004 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: manage the firm, gather assets, build and foster client relationshipsBusiness Name: Access Brokerage Investment Related: Yes Address: 14 Roosevelt Ave Port Jefferson Station NY 11776 Nature of Business: Insurance Position, Title or Relationship: Insurance Represenative Start Date: 1/1/2015 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: Review insurance options for clients, issue contract for client and service existing contractsBusiness 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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-11-03
S63 Uniform Securities Agent State Law Examination 1997-08-25
  • S65 Uniform Investment Adviser Law Examination
    2021-11-03
  • S63 Uniform Securities Agent State Law Examination
    1997-08-25

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