Thomas Clay Sowers

Employer firm

Kestra Advisory Services, LLC CRD 283330

$79.8B regulatory AUM 6,392 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Kestra Advisory Services, Llc

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-08-08
NC	RA	APPROVED	2021-10-13

TX RA
APPROVED

Since 2023-08-08
NC RA
APPROVED

Since 2021-10-13

Branch Locations

Mt Pleasant, SC • United States

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States

Charlotte, NC • 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

Organization	City	State	From	To
Dimensional Fund Advisors	Charlotte	NC	08/2017	10/2021
Student	Oxford	OH	06/2013	05/2017
Kestra Investment Services, Llc	Charlotte	NC	10/2021	Present
Kestra Advisory Services, Llc	Charlotte	NC	10/2021	Present

08/2017 → 10/2021

Dimensional Fund Advisors

Charlotte, NC
06/2013 → 05/2017

Student

Oxford, OH
10/2021 → Present

Kestra Investment Services, Llc

Charlotte, NC
10/2021 → Present

Kestra Advisory Services, Llc

Charlotte, NC

Other Businesses

Business Name: ROVER POSITION: independent contractor, Dog walker NATURE: Dog Walking INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/19/2021 ADDRESS: 711 Capitol Way S. Suite 204, Olympia WA 98501 DESCRIPTION: Dog Walking Business Name: KESTRA ADVISORY SERVICES, LLC POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 10/12/2021 ADDRESS: 5707 Southwest Parkway Building 2 Ste. 400, Austin TX 78735 DESCRIPTION: Investment Advice Business Name: IGNITE WEALTH PLANNING POSITION: Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 10/01/2021 ADDRESS: 4042 Blackmoor St, Mount Pleasant SC 29466 DESCRIPTION: Financial Planning, Investment Advice, Administrative Work Business Name: GOOD LIFE INSURANCE POSITION: agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 12 START DATE: 10/15/2021 ADDRESS: 23295 Lancaster Pike, Reading PA 19607 DESCRIPTION: Sell life, LTC, and disability policies.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2019-06-14

S63 Uniform Securities Agent State Law Examination

2019-06-14

Designations

Certified Financial Planner

Other Names

Clay Sowers

View on SEC IAPD