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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-22 |
Branch Locations
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
777 Canal View Blvd Suite 800, Rochester, NY 14623 • United States
Canandaigua, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kestra Investment Services, Llc | Rochester | NY | 02/2014 | Present |
| Kestra Advisory Services, Llc | Rochester | NY | 04/2016 | Present |
| Regent Financial Group | Pittsford | NY | 02/2014 | Present |
Business Name: REGENT FINANCIAL GROUP, LLC POS: Financial Advisor NOB: Insurance INV REL: Yes NUMBER OF HOURS: 152 SECURITIES TRADING HOURS: 132 START DATE: 02/03/2014 ADDRESS: 777 Canal View Blvd. Suite 800, Rochester NY 14623 DESC: Duties of a Registered Representative Business Name: PHILIP R. ASHE CONSULTING POS: Consultant NOB: Consulting INV REL: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 03/01/2003 ADDRESS: 3580 MIDDLE CHESHIRE RD, Canandaigua NY 14424 DESC: Provide business consulting to independents including: - business and market research - forecasting - business plan development -give educational seminars -Conduct private sessions with clients to understand their needs and obtain their SS info and analyze data to develop strategies Business Name: KESTRA ADVISORY SERVICES, LLC POS: Investment Advisor Representative NOB: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 152 SECURITIES TRADING HOURS: 132 START DATE: 02/04/2014 ADDRESS: 5707 Southwest Parkway Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: Investment advisory services
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2012-07-26 |
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