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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 2021-06-07
  • NY RA
    APPROVED
    Since 2021-06-07

Branch Locations

1405 Davis Ave, Endwell, NY 13760 • 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 Advisory Services, Llc Endwell NY 04/2016 Present
Kestra Investment Services, Llc Endwell NY 03/2010 Present
Other Businesses

Business Name: NFP Corporate Services (NY), LLC- NFP Investment Related: Yes Address: 1405 Davis Avenue Endwell NY 13760 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Employee Start Date: 4/1/2013 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Financial services, insurance, and employee benefitsBusiness Name: Notary Public - State of NY Investment Related: No Address: 1405 Davis Avenue Endwell NY 13760 Nature of Business: Other Other/None of the Above Notary Public services for my clients. Position, Title or Relationship: Owner Start Date: 3/1/2010 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Notary Public services for my clients.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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-10-06
S63 Uniform Securities Agent State Law Examination 1994-09-15
  • S66 Uniform Combined State Law Examination
    2023-10-06
  • S63 Uniform Securities Agent State Law Examination
    1994-09-15
Designations

View on SEC IAPD

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