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Current Employers
Kestra Private Wealth Services, Llc

5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-09-29
  • NY RA
    APPROVED
    Since 2025-09-29

Branch Locations

90 Crystal Run Road Suite 101, Middletown, NY 10941 • United States

5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 01/2019 08/2024
Jcw Search New York NY 10/2018 01/2019
Arrow Park Monroe NY 06/2017 10/2018
The State Times New York NY 08/2016 05/2017
State University Of Oneonta Oneonta NY 01/2016 05/2018
Monroe Woodbury Central School District Monroe NY 01/2025 05/2025
Kestra Investment Services, Llc Middletown NY 05/2025 Present
Unemployed Monroe NY 09/2024 12/2024
Kestra Private Wealth Services, Llc Middletown NY 09/2025 Present
  • 01/2019 → 08/2024
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    New York, NY
  • 10/2018 → 01/2019
    Jcw Search
    New York, NY
  • 06/2017 → 10/2018
    Arrow Park
    Monroe, NY
  • 08/2016 → 05/2017
    The State Times
    New York, NY
  • 01/2016 → 05/2018
    State University Of Oneonta
    Oneonta, NY
  • 01/2025 → 05/2025
    Monroe Woodbury Central School District
    Monroe, NY
  • 05/2025 → Present
    Kestra Investment Services, Llc
    Middletown, NY
  • 09/2024 → 12/2024
    Unemployed
    Monroe, NY
  • 09/2025 → Present
    Middletown, NY
Other Businesses

Name: MUNDI FINANCIAL POSITION: Junior Financial Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 05/28/2025 ADDRESS: 90 Crystal Run Rd, Suite 101, Middletown NY 10941, United States DESCRIPTION: Assist Senior Financial Advisor in client meetings and office tasks related to meetings Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/29/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: MUNDI FINANCIAL POSITION: Junior Financial Advisor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 05/28/2025 ADDRESS: 90 Crystal Run Rd, Suite 101, Middletown NY 10941, United States DESCRIPTION: Assist Senior Financial Advisor in client meetings and office tasks related to meetings.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-09-25
  • S66 Uniform Combined State Law Examination
    2025-09-25
Other Names
  • Derek S Dimino
  • Derek Stephen Dimino

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