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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
TX RA APPROVED 2016-04-22
  • TX RA
    APPROVED
    Since 2016-04-22

Branch Locations

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • 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 Austin TX 04/2016 Present
Kestra Investment Services, Llc Austin TX 01/2016 Present
Previous Registrations
  • 2011-01-13 → 2016-01-07
    Curian Capital, Llc
    Denver, CO
  • 2008-10-06 → 2011-01-06
    Concord, CA
  • 2005-06-17 → 2007-04-12
    Curian Capital, Llc
    Denver, CO
  • 2000-06-22 → 2005-06-10
    Mutual Service Corporation
    West Palm Beach, FL
Other Businesses

Business Name: True Circle Organization Investment Related: No Address: 1809 Palos Verde Drive West Palos Verde Estates CA 90274 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.); Community/Charitable/Civic Volunteer (Non-Leadership Position) Position, Title or Relationship: Volunteer - Board of Directors Start Date: 4/15/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Serve on the board, help define strategy for the organization. Idea generation to help the charity fulfill its mission. Business Name: FinDaxstic Properties LLC Investment Related: No Address: 122 Lakota Pass Austin TX 78738 Nature of Business: Real Estate Position, Title or Relationship: Co-Founder with my wife. Start Date: 8/30/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Minimal. We use a company called Done For You Real Estate to manage almost all aspects of the properties. We are primarily just investors and out source the day to day management

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-13
S63 Uniform Securities Agent State Law Examination 1995-08-04
  • S65 Uniform Investment Adviser Law Examination
    1998-05-13
  • S63 Uniform Securities Agent State Law Examination
    1995-08-04
Designations

View on SEC IAPD

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