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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
NJ RA APPROVED 2016-04-20
  • NJ RA
    APPROVED
    Since 2016-04-20

Branch Locations

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

101 Crawfords Corner Rd. Suite 4127, Holmdel, NJ 07733 • 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
Kestra Investments Services, Llc. Holmdel NJ 04/2016 Present
Kestra Advisory Services, Llc. Holmdel NJ 04/2016 Present
Previous Registrations
  • 2001-02-11 → 2007-02-12
    1717 Capital Management Company
    Edison, NJ
    Edison, NJ
Other Businesses

Business Name: Christian Brothers Academy Investment Related: Yes Address: Newman Springs Rd Lincroft NJ 07738 Nature of Business: Other Other/None of the Above None Position, Title or Relationship: Other,Member of the Endowment Committee Start Date: 12/1/2014 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: To oversee management of the endowment fund. Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: O'BRIEN WEALTH MANAGEMENT, LLC POSITION: Founder and CFP NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 56 SECURITIES TRADING HOURS: 49 START DATE: 02/01/2008 ADDRESS: 101 Crawfords Corner Rd, Suite 4127, Suite 4127, Suite 4127, Holmdel NJ 07733 DESCRIPTION: Managing client investments, investment and insurance sales and financial planning

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-02-15
S63 Uniform Securities Agent State Law Examination 1994-02-17
  • S65 Uniform Investment Adviser Law Examination
    1996-02-15
  • S63 Uniform Securities Agent State Law Examination
    1994-02-17

View on SEC IAPD

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