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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
NC RA APPROVED 2016-04-19
  • NC RA
    APPROVED
    Since 2016-04-19

Branch Locations

1901 Roxborough Road Ste 300, Charlotte, NC 28211 • 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
Corporate Benefit Advisors Charlotte NC 01/2009 Present
Kestra Advisory Services, Llc Cahrlotte NC 04/2016 Present
Kestra Investment Services, Llc Cahrlotte NC 01/2010 Present
  • 01/2009 → Present
    Corporate Benefit Advisors
    Charlotte, NC
  • 04/2016 → Present
    Cahrlotte, NC
  • 01/2010 → Present
    Kestra Investment Services, Llc
    Cahrlotte, NC
Previous Registrations
Other Businesses

Business Name: NFP Corporate Services (SE) Inc- NFP Investment Related: No Address: 70 W. Madison Suite 4600 Chicago IL 60602 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: Employee Start Date: 1/1/2015 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Employee benefits Consulting Business Name: ACC Championship/Belk Bowl Investment Related: No Address: 6337 Morrison Blvd Charlotte NC 28211 Nature of Business: Community/Charitable/Civic Position, Title or Relationship: board member Start Date: 9/1/2008 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Facilitate in the selling of corporate packages Business Name: KESTRA ADVISORY SERVICES POSITION: producer NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 01/01/2024 ADDRESS: 5707 Southwest Parkway, Bldg 2, Ste 400, Austin TX 78735, United States DESCRIPTION: Support retirement plan advisors

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-19
  • S66 Uniform Combined State Law Examination
    2004-05-19

View on SEC IAPD

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