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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2018-02-20 |
Branch Locations
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
141 Longwater Drive Suite 101, Norwell, MA 02061 • United States
Orleans, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nfp Retirement | Aliso Viejo | CA | 03/2015 | Present |
| Kestra Investment Services, Llc | Norwell | MA | 04/2015 | Present |
| Kestra Advisory Services, Llc | Norwell | MA | 02/2018 | Present |
Business Name: NFP Retirement, Inc. dba 401(k) Advisors Investment Related: Yes Address: 120 Vantis Aliso Viejo CA 92656 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Retirement Plan Analyst Start Date: 4/1/2015 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Reviews of investments in corporate retirement plansBusiness Name: NFP Corporate Services, Inc. Investment Related: Yes Address: 340 Madison Ave, 20th Floor New York NY 10173 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Retirement Plan Analyst Start Date: 4/1/2015 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Investment Reviews of corporate retirement plans
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-09-02 |
| S63 | Uniform Securities Agent State Law Examination | 2007-10-04 |
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