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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-09-17 |
| CA | RA | APPROVED | 2025-08-27 |
Branch Locations
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
1535 Seabright Avenue Suite 110, Santa Cruz, CA 95062 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Jose | CA | 09/2007 | 01/2019 |
| Bank Of America, N.A. | San Jose | CA | 09/2009 | 01/2019 |
| Commonwealth Financial Network | San Diego | CA | 01/2019 | 08/2025 |
| Wi Investment Advisory | Santa Cruz | CA | 01/2019 | 08/2025 |
| Kestra Advisory Services, Llc | Santa Cruz | CA | 08/2025 | Present |
| Kestra Investment Services, Llc | Santa Cruz | CA | 08/2025 | 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: 08/27/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: WI INVESTMENT ADVISORY GROUP, LLC POSITION: Owner NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 08/27/2025 ADDRESS: 1535 Seabright Avenue, Suite 110, Santa Cruz CA 95062, United States DESCRIPTION: management of the LLC including servicing and managing client accounts
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-04-16 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-08 |
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