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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-09-08 |
| RI | RA | APPROVED | 2025-09-05 |
| TX | RA | APPROVED | 2025-09-05 |
Branch Locations
8180 N Hayden Rd Suite D203, Scottsdale, AZ 85258 • United States
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Westerly, RI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 10/2004 | 09/2025 |
| Kestra Investment Services, Llc | Scottsdale | AZ | 09/2025 | Present |
| Kestra Advisory Services, Llc | Scottsdale | AZ | 09/2025 | Present |
Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/03/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: EVERGREEN FINANCIAL ASSOCIATES, LLC POSITION: Member NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/03/2025 ADDRESS: 8180 N Hayden Road, Suite D203, Scottsdale AZ 85258, United States DESCRIPTION: Entity created for running my securities and financial planning business. Name: GIMMESHELTER AZ LLC POSITION: Member NATURE: We own a summer home in an LLC. Non-rental. INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/03/2025 ADDRESS: 8180 N Hayden Road, Suite D203, Scottsdale AZ 85258, United States DESCRIPTION: Minimal. Pay the mortgage and the bills. Name: EVERGREEN FINANCIAL ASSOCIATES POSITION: member NATURE: Insurance INVESTMENT RELATED: No # OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 09/03/2025 ADDRESS: 8180 N Hayden Road, Suite D203, Scottsdale AZ 85258, United States DESCRIPTION: Sell and service fixed insurance. Name: MITCH GLICKSMAN POSITION: referrer NATURE: I have given a recruiter some referrals and he wants to compensate me. INVESTMENT RELATED: No # OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2025 ADDRESS: 9735 East Jagged Peak Road, Scottsdale AZ 85262, United States DESCRIPTION: No duties. I have given a recruiter some referrals and he wants to compensate me.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-01-23 |
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