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120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-04-29 |
Branch Locations
120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States
1901 Roxborough Road Suite 300, Charlotte, NC 28173 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kestra Advisory Services, Llc | Cahrlotte | NC | 04/2016 | 03/2024 |
| Kestra Investment Services, Llc | Charlotte | NC | 11/2004 | 03/2024 |
| Nfp Retirement, Inc. | Aliso Viejo | CA | 04/2024 | 10/2025 |
| Wealthspire Retirement Advisory | Aliso Viejo | CA | 10/2025 | Present |
Business Name: SHE TRIS - RACE AMBASSADOR POSITION: Race Ambassador NATURE: Sports & Leisure - Race Curators INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 4 START DATE: 03/01/2024 ADDRESS: 1240 Winnowing Way, Mount Pleasant SC 29466, United States DESCRIPTION: Assist in building the event in the South Charlotte area to make it a cost effective and memorable experience for participants, volunteers and sponsors. The ambassador will work with the venues, sponsors, volunteers and participants in preparation and execution of the event. Responsibilities will also include maintaining a budget for the event including revenue from sponsors and race registrants to expenses for marketing, timing, security and race swag.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-28 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-22 |
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