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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 | 2020-03-03 |
Branch Locations
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 |
|---|---|---|---|---|
| Higginbotham | Fort Worth | TX | 05/2016 | Present |
| Kestra Advisory Services, Llc | Fort Worth | TX | 03/2020 | Present |
| Kestra Investment Services, Llc | Fort Worth | TX | 07/2018 | Present |
Business Name: Austin Somers Investment Related: No Address: 500 W. 13th Street Fort Worth TX 76102 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: Retirement Plan Services Producer Start Date: 7/1/2018 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Sales role, portfolio management, compliance, & education HIGGINBOTHAM POSITION: Retirement Plan Services NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 07/01/2018 ADDRESS: 500 W. 13th Street, Fort Worth TX 76102, United States DESCRIPTION: Fund Due Diligence - Screening, Monitoring, Etc. Committee Meetings Employee Education Plan Sponsor Education
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-02-29 |
| S63 | Uniform Securities Agent State Law Examination | 2018-10-12 |
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