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Current Employers
Kestra Private Wealth Services, Llc

5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-07-10
  • NY RA
    APPROVED
    Since 2021-07-10

Branch Locations

90 Crystal Run Road Suite 101, Middletown, NY 10941 • 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
Bruderman Asset Management, Llc Suffern NY 03/2015 08/2019
Bruderman Brothers Llc Suffern NY 03/2015 08/2019
Kestra Investment Services Middletown NY 08/2019 Present
Kestra Private Wealth Services Middletown NY 08/2019 Present
  • 03/2015 → 08/2019
    Bruderman Asset Management, Llc
    Suffern, NY
  • 03/2015 → 08/2019
    Bruderman Brothers Llc
    Suffern, NY
  • 08/2019 → Present
    Kestra Investment Services
    Middletown, NY
  • 08/2019 → Present
    Kestra Private Wealth Services
    Middletown, NY
Previous Registrations
  • 2016-12-14 → 2019-10-17
    Gary Goldberg Planning Services
    Locust Valley, NY
  • 2006-12-18 → 2015-03-18
    Gary Goldberg Planning Services Inc
    Suffern, NY
Other Businesses

Business Name: Mundi Financial Investment Related: Yes Address: 90 Crystal Run, Suite 101 Middletown NY 10941 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through an independent outside RIA Position, Title or Relationship: Vice President-Operations Start Date: 8/21/2019 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: registered assistant Business Name: Orange County Soccer League OCSL Investment Related: No Address: PO Box 390 Chester NY 10918 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.); Other Other/None of the Above provide a venue for women to play soccer Position, Title or Relationship: President Start Date: 7/1/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: oversee all activities of the organization, manage board meetings Business Name: JANNINE BARBOSA POSITION: Notary NATURE: Notary INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/01/2012 ADDRESS: 90 Crystal Run Road, Suite 101, Middletown NY 10941 DESCRIPTION: Notarize documents when requested, approved.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-12-16
  • S66 Uniform Combined State Law Examination
    2006-12-16

View on SEC IAPD

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