Kimberly Kay Mika

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/1990 → 02/2018
  Invest Financial Corp
  Tampa, FL
• 02/2018 → 02/2018
  Lpl Financial Llc
  Naperville, IL
• 02/2018 → 04/2026
  Commonwealth Financial Network
  Waltham, MA
• 04/2026 → Present
  Kestra Investment Services Llc
  Naperville, IL
• 04/2026 → Present
  Kestra Advisory Services Llc
  Naperville, IL

Previous Registrations

• 2018-02-20 → 2026-04-29
  Commonwealth Financial Network
  Naperville, IL
  Naperville, IL
• 2018-02-14 → 2018-03-05
  Lpl Financial Llc
  Naperville, IL
• 2000-10-17 → 2018-02-14
  Invest Financial Corporation
  Naperville, IL
  Burr Ridge, IL
  Naperville, IL

Other Businesses

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: 04/28/2026 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: RIVERSTONE WEALTH PARTNERS MIKA LLC POSITION: Registered Agent / Manager NATURE: Set up to receive advisory income from prior BD INVESTMENT RELATED: Yes # OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/28/2026 ADDRESS: 1203 Lakewood Circle, Naperville IL 60540, United States DESCRIPTION: Established to receive advisory comp from my prior BD Name: RIVERSTONE NAPERVILLE POSITION: Financial Advisor / sales asst NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 40 SECURITIES TRADING HOURS: 130 START DATE: 04/28/2026 ADDRESS: 3380 Lacrosse Lane, Suite 100, Naperville IL 60564, United States DESCRIPTION: I act as sales asst to both advisors in the office Name: RIVERSTONE NAPERVILLE POSITION: Financial Advisor / sales asst NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 130 START DATE: 04/28/2026 ADDRESS: 3380 Lacrosse Lane, Suite 100, Naperville IL 60564, United States DESCRIPTION: I act as sales asst to both advisors in the office

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-08-31
• S63 Uniform Securities Agent State Law Examination
  1997-12-05