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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2025-04-04 |
| TX | RA | APPROVED | 2023-07-26 |
| NC | RA | APPROVED | 2020-04-27 |
Branch Locations
1901 Roxborough Rd, Charlotte, NC 28211 • United States
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Fort Mill, SC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capfinancial Securities, Llc. | Raliegh | NC | 02/2015 | Present |
| Kestra Investment Services, Llc | Charlotte | NC | 04/2020 | Present |
| Kestra Advisory Services, Llc | Charlotte | NC | 02/2020 | Present |
Business Name: NFP CORPORATE SERVICES (SE) INC POSITION: Chief Investment Officer NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 132 START DATE: 12/16/2019 ADDRESS: 1901 roxborough rd, charlotte NC 28211, United States DESCRIPTION: provider oversight of institutional investment program and investment within clients 401(k) and pension plans Business Name: KESTRA ADVISORY SERVICES POSITION: Producer NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 128 START DATE: 02/17/2020 ADDRESS: 5707 Southwest Parkway, Bldg 2, Ste 400, Austin TX 78735, United States DESCRIPTION: advisory services
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-05-10 |
| S63 | Uniform Securities Agent State Law Examination | 2007-04-27 |
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