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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-11-18 |
Branch Locations
45 South Main Street Suite 203, West Hartford, CT 06107 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unemployed | West Hartford | CT | 04/2025 | 09/2025 |
| Optum Home Infusion | Wallingford | CT | 05/2023 | 04/2025 |
| Uconn Health Center | Farmington | CT | 08/2022 | 02/2023 |
| Baylor Scott & White Institute For Rehabilitation | Lakeway | TX | 09/2014 | 07/2022 |
| Kestra Investment Services, Llc | West Hartford | CT | 10/2025 | Present |
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: 09/29/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR 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: 09/29/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: BERGENN FINANCIAL GROUP POSITION: Analyst NATURE: Registered Field Assistant INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/29/2025 ADDRESS: 45 South Main Street, Ste 203, West Hartford CT 06107, United States DESCRIPTION: Assisting in financial planning and investment management for clients of Bergenn Financial Group
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-11-14 |
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