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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2021-11-29 |
Branch Locations
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
2050 Riverside Dr Ste 303, Green Bay, WI 54301 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sii Investments, Inc. | Green Bay | WI | 05/2012 | 02/2018 |
| Lpl Financial Llc | Green Bay | WI | 02/2018 | 11/2021 |
| Kestra Investment Services Llc | Green Bay | WI | 11/2021 | Present |
| Kestra Advisory Services, Llc | Green Bay | WI | 11/2021 | Present |
NOTARY PUBLIC POSITION: Notary NATURE: Notary INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/29/2021 ADDRESS: 2050 Riverside Dr. Ste. 303, Green Bay WI 54301, United States DESCRIPTION: Observe individuals signing documents and notarize them. KESTRA ADVISORY SERVICES LLC POSITION: Operations Manager NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/29/2021 ADDRESS: 5707 Southwest Parkway Building 2, Ste 400, Austin TX 78735, United States DESCRIPTION: Take care of client service requests and assist advisors in the opening of client accounts. NEW WALL STREET LLC POSITION: Operations Manager NATURE: Registered Field Assistant INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/29/2021 ADDRESS: 2050 Riverside Dr. Ste. 303, Green Bay WI 54301, United States DESCRIPTION: Process client service requests, help with Product and Investment research, perform administrative tasks for the company.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-11-05 |
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