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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 2021-01-06
CO RA APPROVED 2020-11-24
  • TX RA
    APPROVED
    Since 2021-01-06
  • CO RA
    APPROVED
    Since 2020-11-24

Branch Locations

757 Maleta Lane Ste 204, Castle Rock, CO 80108 • United States

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

Englewood, CO • 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
Southern Methodist University Dallas TX 08/2013 05/2017
O'NEil Center For Global Markets And Freedom - Smu Dallas TX 08/2016 05/2017
Jackson National Life Distributors Llc Denver CO 07/2017 06/2018
Unemployed Parker CO 07/2018 08/2018
Kestra Investment Services, Llc Castle Rock CO 08/2018 Present
Kestra Advisory Services, Llc Castle Rock CO 11/2020 Present
  • 08/2013 → 05/2017
    Southern Methodist University
    Dallas, TX
  • 08/2016 → 05/2017
    O'NEil Center For Global Markets And Freedom - Smu
    Dallas, TX
  • 07/2017 → 06/2018
    Jackson National Life Distributors Llc
    Denver, CO
  • 07/2018 → 08/2018
    Unemployed
    Parker, CO
  • 08/2018 → Present
    Kestra Investment Services, Llc
    Castle Rock, CO
  • 11/2020 → Present
    Castle Rock, CO
Other Businesses

Business Name: PROPLANCO MANAGEMENT LLC DOING BUSINESS AS MALETA POSITION: Advisor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 08/20/2018 ADDRESS: 757 Maleta Lane, Suite 204, Castle Rock CO 80108 DESCRIPTION: Client management including answering calls and attending client meetings. Insurance. Business Name: Lauren M. Richardson Investment Related: Yes Address: 1995 S. Fox Street Denver CO 80223 Nature of Business: Real Estate Position, Title or Relationship: I am an owner of the property. I am leasing out the space. Start Date: 8/1/2021 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I will be involved with Tenants to make sure the property is maintained during the course of the lease as well as managing expenses (collecting rents, paying mortgage, etc.). Business Name: KESTRA ADVISORY SERVICES LLC POSITION: Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 08/24/2022 ADDRESS: 5707 Southwest Parkway, Bldg 2, Ste 400, Austin TX 78735 DESCRIPTION: Client management.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-08-30
  • S63 Uniform Securities Agent State Law Examination
    2017-08-30
Designations

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