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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 2026-04-23
MA RA APPROVED 2025-11-21
  • TX RA
    APPROVED
    Since 2026-04-23
  • MA RA
    APPROVED
    Since 2025-11-21

Branch Locations

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

1632 Northampton St, Holyoke, MA 01040 • 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
Mfs Fund Distributors, Inc. Boston MA 07/1997 06/2025
Retired Boston MA 06/2025 10/2025
Kestra Investment Services, Llc Holyoke MA 10/2025 Present
Kestra Advisory Services, Llc Holyoke MA 11/2025 Present
  • 07/1997 → 06/2025
    Mfs Fund Distributors, Inc.
    Boston, MA
  • 06/2025 → 10/2025
    Retired
    Boston, MA
  • 10/2025 → Present
    Kestra Investment Services, Llc
    Holyoke, MA
  • 11/2025 → Present
    Holyoke, MA
Other Businesses

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: 10/06/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR NAME: THE WEALTH TRANSITION COLLECTIVE POSITION: Licensed Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 112 SECURITIES TRADING HOURS: 104 START DATE: 10/06/2025 ADDRESS: 1632 Northampton St., Holyoke MA 01040, United States DESCRIPTION: Helping the office investment portfolios mixes for the firm's clients. I will be client-facing to help explain portfolios, changes that are made to them and to answer client investment questions in support of the advisers in the office.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-11-19
S63 Uniform Securities Agent State Law Examination 1997-08-07
  • S66 Uniform Combined State Law Examination
    2025-11-19
  • S63 Uniform Securities Agent State Law Examination
    1997-08-07

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