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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
WA RA APPROVED 2021-06-15
  • WA RA
    APPROVED
    Since 2021-06-15

Branch Locations

4200 Nw Fruit Valley Road, Vancouver, WA 98660 • United States

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

6424 E. Greenway Pkwy, Scottsdale, AZ 85254 • 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
Sigma Financial Corporation Ann Arbor MI 04/2012 07/2019
Spc Ann Arbor MI 04/2012 07/2019
Kestra Investment Services Llc Vancouver WA 01/2021 Present
Unemployed Vancouver WA 07/2019 01/2021
Kestra Advisory Services Llc Vancouver WA 01/2021 Present
  • 04/2012 → 07/2019
    Sigma Financial Corporation
    Ann Arbor, MI
  • 04/2012 → 07/2019
    Ann Arbor, MI
  • 01/2021 → Present
    Kestra Investment Services Llc
    Vancouver, WA
  • 07/2019 → 01/2021
    Unemployed
    Vancouver, WA
  • 01/2021 → Present
    Vancouver, WA
Previous Registrations
  • 2012-04-25 → 2019-12-06
    South Jordan, UT
    Ann Arbor, MI
  • 2009-10-05 → 2012-04-23
    Midvale, UT
    Midvale, UT
  • 2007-10-01 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Midvale, UT
    Salt Lake City, UT
Other Businesses

Business Name: Parthenon Wealth Advisors Investment Related: Yes Address: 4200 NW Fruit Valley Rd, Ste A-100 Vancouver WA 98660 Nature of Business: Registered Field Assistant Position, Title or Relationship: Registered Field Assistant Start Date: 1/6/2021 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: operational duties, answering phones, etcBusiness Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Pkwy Bldg 2, Ste 400 Austin TX 78735 Nature of Business: Registered Field Assistant; Investment Advisory services through an independent outside RIA Position, Title or Relationship: Registered Assistant Start Date: 1/4/2021 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Client service and relationship management

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-09-27
S63 Uniform Securities Agent State Law Examination 1997-10-24
  • S65 Uniform Investment Adviser Law Examination
    2007-09-27
  • S63 Uniform Securities Agent State Law Examination
    1997-10-24
Other Names
  • Stacy A Nottingham
  • Stacy Hollender
  • Stacy Olafsen

View on SEC IAPD

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