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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
NY RA APPROVED 2021-06-22
  • NY RA
    APPROVED
    Since 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

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
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
  • 02/2014 → Present
    Kestra Investment Services, Llc
    Rochester, NY
  • 04/2016 → Present
    Rochester, NY
  • 02/2014 → Present
    Regent Financial Group
    Pittsford, NY
Other Businesses

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

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2012-07-26
  • S63 Uniform Securities Agent State Law Examination
    2012-07-26
Other Names
  • Phil Ashe
  • Philip Ashe

View on SEC IAPD

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