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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
TX RA APPROVED_RES 2023-10-30
NY RA APPROVED 2021-06-22
  • TX RA
    APPROVED_RES
    Since 2023-10-30
  • NY RA
    APPROVED
    Since 2021-06-22

Branch Locations

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

51 E. Main St., Smithtown, NY 11787 • 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
Main Street Financial Group Kings Park NY 12/2007 Present
Kestra Investment Services, Llc. Smithtown NY 01/2008 Present
Kestra Advisory Services, Llc. Smithtown NY 04/2016 Present
  • 12/2007 → Present
    Main Street Financial Group
    Kings Park, NY
  • 01/2008 → Present
    Kestra Investment Services, Llc.
    Smithtown, NY
  • 04/2016 → Present
    Smithtown, NY
Other Businesses

Business Name: Main Street Financial Group Investment Related: Yes Address: 312 Commack Rd Commack NY 11725 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: Financial Advisor Start Date: 12/7/2007 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Portfolio Management/ Business Development/Client ServiceBusiness 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 servicesBusiness Name: Matthew H Brown Investment Related: No Address: 51 E.Main St Smithtown NY 11787 Nature of Business: Insurance Position, Title or Relationship: Producer Start Date: 9/15/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Determine through in depth conversation and knowing client insurance needs

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2008-06-09
  • S63 Uniform Securities Agent State Law Examination
    2008-06-09

View on SEC IAPD

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