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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2019-12-02 |
Branch Locations
175 East Main St Ste C, Franklin, NC 28734 • United States
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Asheville | NC | 04/2010 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Asheville | NC | 11/2016 | 10/2019 |
| Kestra Investment Services, Llc | Franklin | NC | 11/2019 | Present |
| Kestra Advisory Services, Llc | Franklin | NC | 11/2019 | Present |
Business Name: MOUNTAIN ROCK WEALTH MANAGEMENT Investment Related: Yes Address: 175 EAST MAIN STREET STE C FRANKLIN NC 28734 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: President Start Date: 10/28/2019 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Investment Advice and Financial Planning Business Name: Kestra Advisory Services LLC Investment Related: Yes Address: 5707 Southwest Parkway, Bldg 2, Ste 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: IAR Start Date: 11/15/2019 Hours per month: 31% - 40% (49 - 64 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: IAR Business Name: ST FRANCIS OF ASSISI CATHOLIC CHURCH POSITION: Parish Finance Council Member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/04/2022 ADDRESS: 299 Maple Street, Franklin NC 28734 DESCRIPTION: I will be on the Parish Finance Council for my local catholic church. I didn't want to be, but our priest asked me. We (the Council) oversee the church's budget, bookkeeping, and accounting. My main job is to review statements, and hopefully catch any clerical/data entry mistakes, which are rare.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-12-20 |
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