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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
MN RA APPROVED 2018-12-18
  • MN RA
    APPROVED
    Since 2018-12-18

Branch Locations

5900 Rowland Rd, Minnetonka, MN 55343 • United States

5707 Southwest Parkway Building 2, Suite 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
Princor Financial Services Corporation Minnetonka MN 06/2006 12/2018
Principal Life Insurance Company Minnetonka MN 06/2006 12/2018
Jmsc Futurity Minnetonka MN 09/2014 10/2017
Guidepoint Payroll Solutions Minnetonka MN 03/2015 10/2017
Clairmont Financial Group Llc Minnetonka MN 05/2015 10/2017
Nesbit Agencies Insurance Services Minnetonka MN 11/2015 Present
Kestra Investment Services, Llc Minnetonka MN 12/2018 Present
Kestra Advisory Services, Llc Minnetonka MN 12/2018 Present
  • 06/2006 → 12/2018
    Princor Financial Services Corporation
    Minnetonka, MN
  • 06/2006 → 12/2018
    Principal Life Insurance Company
    Minnetonka, MN
  • 09/2014 → 10/2017
    Jmsc Futurity
    Minnetonka, MN
  • 03/2015 → 10/2017
    Guidepoint Payroll Solutions
    Minnetonka, MN
  • 05/2015 → 10/2017
    Clairmont Financial Group Llc
    Minnetonka, MN
  • 11/2015 → Present
    Nesbit Agencies Insurance Services
    Minnetonka, MN
  • 12/2018 → Present
    Kestra Investment Services, Llc
    Minnetonka, MN
  • 12/2018 → Present
    Minnetonka, MN
Previous Registrations
Other Businesses

Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2 Ste. 400 Austin TX 78735 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: Rep Start Date: 12/18/2018 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: act as a rep Business Name: Nesbit Financial Investment Related: Yes Address: 5900 Rowland Rd Minnetonka MN 55343 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: President of Retirement Plan Solutions Start Date: 12/18/2018 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: Overseeing all opertaion

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-12
  • S66 Uniform Combined State Law Examination
    2005-12-12

View on SEC IAPD

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