Steven Mark Sinclair

Current Employers

Employment History

• 07/1994 → 06/2021
  Cadaret, Grant & Co., Inc.
  Lockport, NY
• 06/2021 → Present
  Kestra Investment Services, Llc
  Lockport, NY
• 06/2021 → Present
  Kestra Advisory Services, Llc
  Lockport, NY

Previous Registrations

• 2020-01-13 → 2021-06-03
  Cadaret, Grant & Co., Inc.
  Lockport, NY
  Lockport, NY

Other Businesses

BN: Hospice Alliance Inv Rel: N Addr: 4675 Sunset Dr Lockport NY 14094 NOB: Brd Positions POS: Brd Chairperson STRT Date: 4/1/2009 Hrs per mo: 0% - 10% (0 - 16 Hrs) Hrs per mo during trading Hrs: 0% - 10% (0 - 14 Hrs) DESC: conduct quarterly mtngs and interact with Niagara Hospice Mngmnt BN: Eastern Niagara Hospital Inv Rel: N Addr: 521 East Avenue Lockport NY 14094 NOB: Brd Position POS: Brd Mmbr STRT Date: 4/1/2018 Hrs per mo: 0% - 10% (0 - 16 Hrs) Hrs per mo during trading Hrs: 0% - 10% (0 - 14 Hrs) DESC: Finance Committee BN: Niagara County Community College Foundation Inv Rel: N Addr: 3111 Saunder Settlement Rd Sanborn NY 14132 NOB: Brd Position POS: Brd Mmbr STRT Date: 5/31/2011 Hrs per mo: 0% - 10% (0 - 16 Hrs) Hrs per mo dur trad Hrs: 0% - 10% (0 - 14 Hrs) DESC: Finance Committee BN: Pinnacle Community Services Inv Rel: N Addr: 1522 Main Street Niagara Falls NY 14305 NOB: Brd Position POS: Brd Mmbr STRT Date: 11/1/1995 Hrs per mo: 0% - 10% (0 - 16 Hrs) Hrs per mo durng trad Hrs: 0% - 10% (0 - 14 Hrs) DESC: provide direction & support mngmnt BN: Commercial Real Estate Ownership Inv Rel: N Addr: 122 West Ave Lockport NY 14094 NOB: Real Estate POS: Office Rental STRT Date: 5/1/2019 Hrs per mo: 0% - 10% (0 - 16 Hrs) Hrs per mo durng trad Hrs: 0% - 10% (0 - 14 Hrs) DESC: Maintain office space BN: Sinclair & Associates Inv Rel: Y Addr: 122 West Ave Lockport NY 14094 NOB: Reg Rep Activities thru Kestra Investment Srvcs, LLC using a DBA name POS: President STRT Date: 5/1/2019 Hrs per mo: 71% - 80% (113 - 128 Hrs) Hrs per mo durng trad Hrs: 71% - 80% (99 - 112 Hrs) DESC: Client srvc, BN: KESTRA ADVISORY SERVICES POS: Register Investment Advisor Rep NOB: Investment advisory srvcs thru Kestra Advisory Srvcs, LLC INV REL: Y #OF HRS: 112 SEC TRAD HRS: 112 STRT DATE: 06/01/2021 ADDR: 5707 SW Prkwy, Bldg 2, Ste 400, Austin TX 78735 DESC: Srvc RIA clients BN: NIAGARA HOSPICE ALLIANCE, INC. POS: Brd Chairperson NOB: Brd position INV REL: N #OF HRS: 1 SEC TRAD HRS: 0 STRT DTE: 04/01/2019 ADDR: 4675 Sunset Drive, Lockport NY 14094 DESC: Conduct qtrly mtgs of the Brd . Review & signoff on annual audits . BN: NCCC FOUNDATION POS: Brd Member and Finance Committee Member NOB: Brd position INV REL: No #OF HRS: 1 SEC TRAD HRS: 0 STRT DTE: 05/31/2011 ADDR: 3111 Saunder Settlement Rd., Sanborn NY 14132 DESC: The NCCC Foundation Brd meets 6 times a yr, we oversee the mgmnt of the fndtion, BN: PINNACLE COMMUNITY SERVICES POS: Brd Treas & mbr of finance committee. NOB: Brd posi (Brd of Directors, Brd of Trustees, etc.) INV REL: N #OF HRS: 2 SEC TRAD HRS: 1 STRT DTE: 11/01/1993 ADDR: 1522 Main Street, Niagara Falls NY 14305 DESC: Attend moly Brd mtgs & provide direction /support for the mgmnt of the org in providing srvcs to the community. Attend finance committee mtgs &assist /oversee management's effort to mntain financial well being of the org as Brd Treasurer. BN: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through KAS, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 06/02/2021 ADDRESS: 5707 SW Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR BN: SINCLAIR & ASSOCIATES POSITION: Owner NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 15 SECURITIES TRADING HOURS: 90 START DATE: 06/01/2021 ADDRESS: 122 West Ave, Suite 100, Lockport NY 14094, United States DESCRIPTION: Operating and managing a investment office offering retirement planning, financial planning, investment management, insurance (life, health and annuity products), basically all elements not directly involved with investment advisory clients.

Exams

• S63 Uniform Securities Agent State Law Examination
  1991-01-07