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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-10-08 |
| TX | RA | APPROVED_RES | 2024-10-01 |
Branch Locations
2424 N Federal Hwy Ste 400, Boca Raton, FL 33431 • United States
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Boca Raton | FL | 05/2012 | 10/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 10/2020 |
| National Securities Corporation | Boca Raton | FL | 10/2020 | 07/2022 |
| B. Riley Wealth Advisors | Boca Raton | FL | 10/2020 | 10/2024 |
| B. Riley Wealth Management | Boca Raton | FL | 07/2022 | 10/2024 |
| Kestra Investment Services Llc | Boca Raton | FL | 10/2024 | Present |
| Kestra Advisory Services Llc | Boca Raton | FL | 10/2024 | Present |
Bus Name: WEALTH EMPOWERMENT POS: Registered Representative NOB: Registered rep activities through Kestra Investment Services INV REL: Yes, # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/26/2024 ADDRESS: 2424 N Federal Hwy, Ste 400, Boca Raton FL 33431 DESC: Servicing client accounts and handling their investment needs by systematically rebalancing their portfolios according to their individual situation. Bus Name: KESTRA ADVISORY SERVICES POS: IAR/ Independent financial advisor NOB: Investment advisory services through Kestra Advisory Services, LLC INV REL: Yes, # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/26/2024 ADDRESS: 5707 SW Pkwy Bldg 2 Ste 400, Austin TX 78735 DESC: IAR, handling various clients investment needs. Bus Name: WEALTH EMPOWERMENT POSITION: Registered Representative NATURE: Insurance INVESTMENT RELATED: Yes, # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/26/2024 ADDRESS: 2424 N Federal Hwy, Ste 400, Boca Raton FL 33431, United States DESCRIPTION: Servicing client accounts and handling their investment needs by systematically rebalancing their portfolios according to their individual situation.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2006-06-05 |
| S65 | Uniform Investment Adviser Law Examination | 2003-09-24 |
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