Mei Ling Au

Current Employers

Employment History

• 04/2016 → Present
  Kestra Advisory Services, Llc
  Greenville, SC
• 05/2012 → Present
  Kestra Investment Services, Llc
  Greenville, SC

Previous Registrations

• 2009-06-29 → 2012-05-31
  Fintrust Investment Advisory Services, Llc
  Greenville, SC
• 2005-11-22 → 2009-06-26
  Elliott Davis Investment Advisory Services, Llc
  Greenville, SC
• 2002-03-28 → 2005-11-15
  Legg Mason Wood Walker, Incorporated
  Greenville, SC

Other Businesses

Name: NFP Corporate Services (SE) Investment Related: Yes Address: 80 International Drive, Suite 425 Greenville SC 29615 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Employee Start Date: 5/8/2012 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Soliciting new clients, servicing existing clients, investment recommendations, development of financial plansBusiness 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 NAME: MEI AU - CHRISTIAN WRITER POSITION: Independent Contractor NATURE: Christian writer INVESTMENT RELATED: No # OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2017 ADDRESS: 417 Brighton Circle, Easley SC 29642, United States DESCRIPTION: Wrote a total of 9 faith based devotionals to encourage women in their Christian walk for compensation. Contributor to women's devotions to Christian websites (not compensated) Writer of Bible Study Guide to be published Nov 2026 for compensation.

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-05-17
• S63 Uniform Securities Agent State Law Examination
  2000-05-03

Designations