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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
TX RA APPROVED 2024-05-16
NY RA APPROVED 2021-06-07
  • TX RA
    APPROVED
    Since 2024-05-16
  • NY RA
    APPROVED
    Since 2021-06-07

Branch Locations

565 Taxter Rd, Suite 490, NY 10523 • United States

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

2 Pomperaug Office Park Ste 301, Southbury, CT 06488 • United States

Garrison, NY • 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
Kestra Investment Services, Llc Elmsford NY 04/2009 Present
Kestra Advisory Services, Llc Elmsford NY 04/2016 Present
Andrew Brief Retirement Strategies, Inc Elmsford NY 05/2005 Present
  • 04/2009 → Present
    Kestra Investment Services, Llc
    Elmsford, NY
  • 04/2016 → Present
    Elmsford, NY
  • 05/2005 → Present
    Andrew Brief Retirement Strategies, Inc
    Elmsford, NY
Other Businesses

Name: U.S. FINANCIAL SERVICES POSITION: Lead Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 152 SECURITIES TRADING HOURS: 152 START DATE: 02/18/2022 ADDRESS: 375 Passaic Avenue, Fairfield NJ 07004, United States DESCRIPTION: Providing investment advice to clients in an advisory capacity, office manager overseeing staff, and client relationship management. Name: CHRISTINA DZIADZIO POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 01/01/2024 ADDRESS: 565 Taxter Road, Suite 490, Elmsford NY 10523, United States DESCRIPTION: Understanding the client's goal(s), identifying the most cost effective solution to assist them in reaching their goal or protecting their plan. 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: 08/25/2009 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: CANINE COMPANIONS FOR INDEPENDENCE POSITION: Co-Chapter Leader NATURE: Service Dog - public awareness and volunteer leader INVESTMENT RELATED: No # OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/17/2019 ADDRESS: 1941 Route 9, Garrison NY 10524, United States DESCRIPTION: I provide guidance to other volunteers (by offering resources and joining people together), coordinate events, raise public awareness about the 501c3 organization, fundraising efforts sometimes occur at events, attend chapter meetings, quarterly volunteer calls, etc. Name: U.S. FINANCIAL SERVICES POSITION: Lead Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 152 SECURITIES TRADING HOURS: 152 START DATE: 02/18/2022 ADDRESS: 565 Taxter Road, Suite 490, Elmsford NY 10523, United States DESCRIPTION: Providing investment advice to clients in an advisory capacity, office manager overseeing staff, and client relationship management. Name: NOTARY SERVICES POSITION: Notary Public NATURE: Notary INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/28/2020 ADDRESS: 565 Taxter Road, Suite 490, Elmsford NY 10523, United States DESCRIPTION: Notarizing signatures.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-01-02
  • S66 Uniform Combined State Law Examination
    2014-01-02
Designations

View on SEC IAPD

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