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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-04-06 |
Branch Locations
207 W. San Antonio St., Alto, TX 75925 • United States
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Tyler | TX | 08/2015 | 04/2017 |
| Kestra Investment Services, Llc | Jacksonville | TX | 04/2017 | Present |
| Kestra Advisory Services, Llc. | Jacksonville | TX | 04/2017 | Present |
Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway, Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: INVESTMENT ADVISOR REPRESENTATIVE Start Date: 3/31/2017 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: PROVIDE INVESTMENT ADVICE TO CLIENTS AND ACT AS A FIDUCIARY TO CLIENTS Business Name: NORTHROCK INVESTMENT MANAGEMENT Investment Related: Yes Address: 3200 TROUP HWY SUITE 330-A TYLER TX 75701 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: SOLE FINANCIAL ADVISOR Start Date: 8/1/2017 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: SECURITY PORTFOLIO MANAGEMENT FOR MY CLIENTS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-03-09 |
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