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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-10-03 |
Branch Locations
3323 Old Conejo Rd., Thousand Oaks, CA 91320 • United States
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Westlake Village, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Western International Securities | Pasadena | CA | 07/2009 | 11/2017 |
| Sagepoint Financial, Inc | Newbury Park | CA | 11/2017 | 09/2023 |
| Osaic Wealth, Inc. | Newbury Park | CA | 09/2023 | 10/2023 |
| Kestra Investment Services, Llc | Thousand Oaks | CA | 10/2023 | Present |
| Kestra Advisory Services, Llc | Thousand Oaks | CA | 10/2023 | Present |
Business Name: RICHARD NORKIN POSITION: Sole Propietor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 8 START DATE: 11/12/2018 ADDRESS: 3323 Old Conejo Rd., Thousand Oaks CA 91320 DESCRIPTION: Sales and servcie of policies. Business Name: KESTRA ADVISORY SERIVCES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/04/2023 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESCRIPTION: IAR Business Name: RENTAL PROPERTY POSITION: Owner/Manager NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/1991 ADDRESS: 1050 Terrace Hill Cr., Westlake Village CA 91362 DESCRIPTION: Screen tenants, collect rent, maintain property. Business Name: FINANCIALPOINTE POSITION: Registered Representative NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/03/2024 ADDRESS: 3323 Old Conejo Rd., Thousand Oaks CA 91320 DESCRIPTION: Registered Representative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-05-26 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-17 |
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