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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
VA RA APPROVED 2016-05-05
  • VA RA
    APPROVED
    Since 2016-05-05

Branch Locations

1173 Jefferson Green Circle Unit 3A, Midlothian, VA 23113 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Securities America Inc. Glen Allen VA 09/2005 Present
Sterling Asset Management, Llc Glen Allen VA 09/2005 Present
Sterling Asset Management Norfolk VA 10/2003 Present
Kestra Advisory Services, Llc Midlothian VA 04/2016 Present
Kestra Investment Services, Llc Midlothian VA 01/2014 Present
  • 09/2005 → Present
    Securities America Inc.
    Glen Allen, VA
  • 09/2005 → Present
    Sterling Asset Management, Llc
    Glen Allen, VA
  • 10/2003 → Present
    Sterling Asset Management
    Norfolk, VA
  • 04/2016 → Present
    Midlothian, VA
  • 01/2014 → Present
    Kestra Investment Services, Llc
    Midlothian, VA
Previous Registrations
  • 2005-10-12 → 2014-07-01
    Sterling Asset Management, Llc
    Glen Allen, VA
  • 2004-01-28 → 2005-10-03
    Millennium Advisory Services, Inc.
    Richmond, VA
Other Businesses

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: STERLING BENEFITS HOLDINGS, INC. Investment Related: Yes Address: 1173 JEFFERSON GREEN CIRCLE MIDLOTHIAN VA 23113 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Employee Start Date: 10/1/2013 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: General registered representative activities.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-04-28
S63 Uniform Securities Agent State Law Examination 1993-02-04
  • S66 Uniform Combined State Law Examination
    2003-04-28
  • S63 Uniform Securities Agent State Law Examination
    1993-02-04
Other Names
  • Craig Dean

View on SEC IAPD

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