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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
MA RA APPROVED 2016-05-09
  • MA RA
    APPROVED
    Since 2016-05-09

Branch Locations

141 Longwater Drive Suite 101, Norwell, MA 02061 • 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 Norwell MA 04/2016 Present
Kestra Investment Services, Llc Norwell MA 12/2009 Present
Previous Registrations
  • 2007-04-11 → 2009-12-08
    St Louis, MO
    Scituate, MA
Other Businesses

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 Corporate Services NY, LLC Investment Related: Yes Address: 141 longwater drive norwell MA 02061 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: 12/7/2009 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I sell insurance and financial services.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-31
  • S66 Uniform Combined State Law Examination
    2007-03-31

View on SEC IAPD

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