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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 2026-08-26
MN RA APPROVED 2018-04-30
  • TX RA
    APPROVED
    Since 2026-08-26
  • MN RA
    APPROVED
    Since 2018-04-30

Branch Locations

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

505 Waterford Park Highway 169 N, Suite 1100, Plymouth, MN 55441 • 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 Plymouth MN 04/2018 Present
Kestra Investment Services, Llc Plymouth MN 01/2008 Present
Other Businesses

Business Name: MN Liife & Health Insurance License Investment Related: Yes Address: NA NA AK 55343 Nature of Business: Insurance Position, Title or Relationship: Other,State Insureance License Start Date: 8/27/2003 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Licensed non-producer Business Name: The KNW Group LLC Investment Related: Yes Address: 4350 Baker Road Suite 250 Minnetonka MN 55343 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: Director of Investments Start Date: 11/30/2007 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Investment Due Diligence and asset allocation support 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: NFP Investment Related: Yes Address: 505 Waterford Park, Highway 169 N, Suite 1100 Plymouth MN 55441 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: VP Start Date: 3/11/2019 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment Advisory, Consulting, Department Management Business Name: THE KNW GROUP LLC POSITION: Employee NATURE: Legacy firm acquired by NFP INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/30/2007 ADDRESS: 505 Hwy 169 N, Suite 1100, Plymouth MN 55441 DESCRIPTION: None not already related to NFP

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-02-03
S63 Uniform Securities Agent State Law Examination 2000-11-03
  • S66 Uniform Combined State Law Examination
    2005-02-03
  • S63 Uniform Securities Agent State Law Examination
    2000-11-03
Designations

View on SEC IAPD

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