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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_RES | 2025-09-26 |
| IN | RA | APPROVED | 2021-03-23 |
Branch Locations
733 E 4Th St, Mt Vernon, IN 47620 • 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 |
|---|---|---|---|---|
| Shield Global Partners | Evansville | IN | 08/2016 | 06/2018 |
| Old National Bank | Mount Vernon | IN | 07/2018 | 09/2020 |
| Lpl Financial Llc | Mount Vernon | IN | 02/2019 | 09/2020 |
| Kestra Advisory Services, Llc | Mt. Vernon | IN | 03/2021 | Present |
| Kestra Investment Services, Llc | Mt. Vernon | IN | 09/2020 | 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: Sales assistant and office manager Start Date: 9/8/2020 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Assisting the rep in paperwork follow ups managing the office. Business Name: Harmony Wealth Group Investment Related: Yes Address: 206 main street Mt. Vernon IN 47620 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Sales Assistant, employee Start Date: 9/8/2020 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Sales assistant, doing account paperwork, follow ups via phone and email. Compliance materials, mailings and assisting the advisor Shawn Worman
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-03-11 |
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