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120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-04-13 |
Branch Locations
2600 Kelly Road Suite 300, Warrington, PA 18976 • United States
120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nfp Retirement, Inc. | Aliso Viejo | CA | 05/2016 | 10/2025 |
| Kestra Investment Services, Llc | Warrington | PA | 01/2016 | Present |
| Wealthspire Retirement Advisory | Aliso Viejo | CA | 10/2025 | Present |
Business Name: NFP Retirement Investment Related: Yes Address: 2600 Kelly Road Suite 300 Warrington PA 18976 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Business Development Executive Start Date: 12/28/2015 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Bring on new retirement plan relationships
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 2012-03-14 |
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