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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_RES 2023-07-27
MN RA APPROVED 2016-05-17
  • TX RA
    APPROVED_RES
    Since 2023-07-27
  • MN RA
    APPROVED
    Since 2016-05-17

Branch Locations

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States

505 Waterford Park Highway 169 N, Suite 1100, Plymouth, MN 55441 • 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 Plymouth MN 04/2016 Present
Kestra Investment Services, Llc Plymouth MN 04/2007 Present
Other Businesses

Business Name: KNW Group Investment Related: Yes Address: 4350 Baker Rd Minnetonka MN 55343 Nature of Business: Insurance Position, Title or Relationship: Employee Start Date: 7/31/2007 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: SalesBusiness Name: St. Michael-Albertville High School Boys Basketball Board Investment Related: No Address: 5800 Jamison Ave NE St. Michael MN 55376 Nature of Business: Community/Charitable/Civic Position, Title or Relationship: Treasurer. I was just nominated and elected. Start Date: 6/3/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Work with the board to support the boys basketball association.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 servicesBusiness Name: NFP Investment Related: Yes Address: 505 Waterford Suite 1100 Plymouth MN 55441 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Registered Rep Start Date: 2/11/2019 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Provide Investment and Insurance advice to clients and prospects

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-05-12
S63 Uniform Securities Agent State Law Examination 1995-09-07
  • S65 Uniform Investment Adviser Law Examination
    2016-05-12
  • S63 Uniform Securities Agent State Law Examination
    1995-09-07

View on SEC IAPD

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