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Current Employers
Kestra Advisory Services, Llc

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-04-03
  • NY RA
    APPROVED
    Since 2024-04-03

Branch Locations

200 Executive Blvd Suite C, Ossining, NY 10562 • United States

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States

Peekskill, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameritas Investment Corp Lincoln NE 05/2016 07/2017
Ameritas Life Insurance Corp Of New York New York NY 03/2016 02/2017
Ameritas Life Insurance Corp Lincoln NE 03/2016 02/2017
Great Helm Corp Peekskill NY 03/2016 04/2024
Dipaola Financial Group Melville NY 03/2016 07/2017
Lpl Financial, Llc Croton On Hudson NY 07/2017 09/2022
Lincoln Financial Advisors Croton On Hudson NY 09/2022 04/2024
Kestra Investment Services, Llc Peekskill NY 04/2024 Present
Kestra Advisory Services , Llc Peekskill NY 04/2024 Present
  • 05/2016 → 07/2017
    Ameritas Investment Corp
    Lincoln, NE
  • 03/2016 → 02/2017
    Ameritas Life Insurance Corp Of New York
    New York, NY
  • 03/2016 → 02/2017
    Ameritas Life Insurance Corp
    Lincoln, NE
  • 03/2016 → 04/2024
    Great Helm Corp
    Peekskill, NY
  • 03/2016 → 07/2017
    Dipaola Financial Group
    Melville, NY
  • 07/2017 → 09/2022
    Croton On Hudson, NY
  • 09/2022 → 04/2024
    Lincoln Financial Advisors
    Croton On Hudson, NY
  • 04/2024 → Present
    Kestra Investment Services, Llc
    Peekskill, NY
  • 04/2024 → Present
    Peekskill, NY
Previous Registrations
  • 2022-09-15 → 2024-04-04
    Osaic Fa, Inc.
    Ossining, NY
    Paramus, NJ
  • 2021-08-03 → 2022-09-23
    Croton On Hudson, NY
    Croton On Hudson, NY
    Bronx, NY
Other Businesses

Business Name: KESTRA ADVISORY SERVICES POSITION: Investment Advisor Representative NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 04/03/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: Investment Advisor Representative Business Name: GREAT HELM CORP POSITION: owner/President NATURE: setup for help in receiving revenue from partner before split codes. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/04/2016 ADDRESS: 1618 magnolia avenue, Peekskill NY 10566, United States DESCRIPTION: none as not an active OBA at this point. see above. Business Name: LODI WEALTH ADVISORS POSITION: registered representative NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 04/03/2024 ADDRESS: 200 Executive Blvd Ste C, Ossining NY 10566, United States DESCRIPTION: registered representative

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2016-05-27
  • S63 Uniform Securities Agent State Law Examination
    2016-05-27
Other Names
  • Dean John Dipierro
  • Dean Dipierro

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