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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-10-27 |
| CA | RA | APPROVED | 2016-10-11 |
Branch Locations
2033 Gateway Place Suite 500, San Jose, CA 95110 • United States
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Los Gatos, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 401K Advisors | San Jose | CA | 04/2013 | 04/2018 |
| Nfp Advisor Services, Llc. | Austin | TX | 08/2014 | 05/2017 |
| Kestra Investment Services, Llc | San Jose | CA | 08/2014 | Present |
| Kestra Advisory Services, Llc | San Jose | CA | 10/2016 | Present |
| Strategic Retirement Partners | Aliso Viejo | CA | 07/2015 | 10/2016 |
Business Name: 401(k) 403(b) Fiduciary Advisors Investment Related: Yes Address: 1731 Technology Dr. Suite 250 San Jose CA 95110 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Senior Plan Consultant Start Date: 8/18/2016 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: Prospecting and Account Support KESTRA ADVISORY SERVICES, LLC POSITION: Senior Plan Consultant NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 32 START DATE: 10/01/2016 ADDRESS: 5707 Southwest Parkway Building 2 Ste. 400, Suite 250, Austin TX 78735, United States DESCRIPTION: Sales, Operations
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-10-03 |
| S63 | Uniform Securities Agent State Law Examination | 2009-09-04 |
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