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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 | 2021-09-24 |
Branch Locations
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Scottsdale, AZ • United States
Avondale, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Sun City | AZ | 05/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Sun City | AZ | 11/2016 | 09/2021 |
| Kestra Investment Services, Llc | Phoenix | AZ | 09/2021 | Present |
| Kestra Advisory Services | Phoenix | AZ | 09/2021 | Present |
Name: VALSBAT LLC POSITION: Owner NATURE: Baseball coaching INVESTMENT RELATED: No # OF HOURS: 8 SECURITIES TRADING HOURS: 21 START DATE: 01/30/2021 ADDRESS: 825 S 125th ave, Avondale AZ 85323 DESCRIPTION: None, Just a owner for estate planning Purposes Name: PROMINENT PEAK WEALTH MANAGEMENT POSITION: Sr Wealth Advisor , Co Founder NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 152 SECURITIES TRADING HOURS: 63 START DATE: 09/09/2021 ADDRESS: 825 S 125th ave, Avondale AZ 85323 DESCRIPTION: As a owner i am responsible for the daily ongoing management of the business. As a Sr Wealth Advisor my role is to assist clients with their Financial Journey Name: KESTRA ADVISORY SERVICES LLC POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 120 SECURITIES TRADING HOURS: 63 START DATE: 09/09/2021 ADDRESS: 5707 Sw Parkway building 2 suite 400, austin TX 78735 DESCRIPTION: Financial and Investment Advising Name: PROMINENT PEAK TAX AND ESTATE SERVICES POSITION: Owner NATURE: Besides outsourcing tax preparation, which this submission was originally approved for, we will now also be outsourcing basic estate planning services for clients. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 4 START DATE: 02/24/2023 ADDRESS: 2626 e Bear creek ln, Phoenix AZ 85024 DESCRIPTION: Hiring and firing of staff and monitoring workflows Name: DESERT SAHUARO HOLDINGS LLC POSITION: Member NATURE: Real Estate INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/24/2025 ADDRESS: 825 s 125TH AVE, Avondale AZ 85323, United States DESCRIPTION: I am a passive investor in a real estate development project. My sole responsibility is purchasing land for future development. I do not engage in management, construction, or sales activities. This investment is held through a privately-owned LLC, and no firm clients or firm-related resources are involved NAME: PROMINENT PEAK WEALTH MANAGEMENT POSITION: Sr Wealth Advisor , Co Founder NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 152 SECURITIES TRADING HOURS: 63 START DATE: 09/09/2021 ADDRESS: 825 S 125th ave, Avondale AZ 85323, United States DESCRIPTION: As a owner i am responsible for the daily ongoing management of the business. As a Sr Wealth Advisor my role is to assist clients with their Financial Journey
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-07-28 |
| S63 | Uniform Securities Agent State Law Examination | 2009-06-18 |
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