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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
CT RA APPROVED 2022-02-01
  • CT RA
    APPROVED
    Since 2022-02-01

Branch Locations

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

29 South Main Street Suite 300, West Hartford, CT 06107 • United States

Stonington, CT • 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
Mml Distributors, Llc Springfield MA 01/2013 01/2021
Massachusetts Mutual Life Insurance Company Springfield MA 01/2013 01/2021
Gwfs Equities, Inc. Boston MA 01/2021 04/2021
Kestra Investment Services Llc Farmington CT 05/2021 Present
Kestra Advisory Services, Llc Farmington CT 02/2022 Present
  • 01/2013 → 01/2021
    Mml Distributors, Llc
    Springfield, MA
  • 01/2013 → 01/2021
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 01/2021 → 04/2021
    Gwfs Equities, Inc.
    Boston, MA
  • 05/2021 → Present
    Kestra Investment Services Llc
    Farmington, CT
  • 02/2022 → Present
    Farmington, CT
Other Businesses

Business Name: The Schuster Group Investment Related: Yes Address: 135 South Road Farmington CT 06032 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Advisor Start Date: 5/3/2021 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Participant Retirement Plan Education SCHUSTER DRISCOLL, LLC POSITION: Producer NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/03/2021 ADDRESS: 135 South Road, Farmington CT 06032, United States DESCRIPTION: Facilitate Insurance services as part of my Financial Advisor Activities, working with individual clients. KESTRA ADVISORY SERVICES, LLC POSITION: Advisor/Producer NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 18 START DATE: 05/03/2021 ADDRESS: 5707 Southwest Parkway Building 2 Ste. 400, Austin TX 78735, United States DESCRIPTION: Investment Advisory Services for individual clients.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-01-31
S63 Uniform Securities Agent State Law Examination 2008-10-23
  • S66 Uniform Combined State Law Examination
    2022-01-31
  • S63 Uniform Securities Agent State Law Examination
    2008-10-23

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