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120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MT | RA | APPROVED | 2025-04-15 |
| WA | RA | APPROVED | 2025-01-28 |
| CO | RA | APPROVED | 2025-01-23 |
| AZ | RA | APPROVED | 2025-01-09 |
| NV | RA | APPROVED | 2025-01-09 |
| NM | RA | APPROVED | 2025-01-09 |
| OR | RA | APPROVED | 2025-01-09 |
| UT | RA | APPROVED | 2024-12-06 |
| CA | RA | APPROVED | 2024-12-05 |
| ID | RA | APPROVED | 2024-12-05 |
Branch Locations
8777 N. Gainey Center Drive Suite # 260, Scottsdale, AZ 85258 • United States
120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 01/2013 | 11/2024 |
| Nfp Retirement, Inc. | Aliso Viejo | CA | 12/2024 | 10/2025 |
| Kestra Investment Services, Llc | Aliso Viejo | CA | 12/2024 | Present |
| Wealthspire Retirement Advisory | Aliso Viejo | CA | 10/2025 | Present |
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: 11/25/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: NFP RETIREMENT, INC POSITION: Financial Coach NATURE: Financial Coaching/Education INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/25/2024 ADDRESS: 200 Park Ave, Suite 3202, New York NY 10166, United States DESCRIPTION: Providing both group and individual financial coaching and education on financial matters.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-09-19 |
| S63 | Uniform Securities Agent State Law Examination | 2013-02-13 |
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