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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2026-08-03 |
| TX | RA | APPROVED | 2025-02-20 |
| NJ | RA | APPROVED | 2023-12-07 |
| NY | RA | APPROVED | 2021-05-07 |
Branch Locations
2 Pomperaug Office Park Ste 301, Southbury, CT 06488 • United States
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
475 Park Avenue South, New York, NY 10016 • United States
Montclair, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unemployed | New York | NY | 11/2015 | 05/2018 |
| Heat Watch Llc | New York | NY | 05/2018 | 04/2019 |
| Unemployed | New York | NY | 04/2019 | 02/2020 |
| Austin Hatch & Smith, Llc (Dba Christopher Street Financial) | New York | NY | 02/2020 | 08/2020 |
| Austin Hatch & Smith, Llc (Dba Christopher Street Financial) | New York | NY | 08/2020 | 08/2023 |
| Kestra Advisory Services, Llc | New York | NY | 05/2021 | Present |
| Kestra Investment Services, Llc | New York | NY | 04/2020 | Present |
| Austin Hatch & Smith, Llc (Dba Christopher Street Financial) | New York | NY | 08/2023 | Present |
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: Director of Finance Start Date: 8/1/2020 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Non-client focused practice management and operations Name: CHRISTOPHER STREET FINANCIAL POSITION: Chief Operating Office NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 07/01/2020 ADDRESS: 475 Park Avenue South, Suite 2100, New York NY 10016, United States DESCRIPTION: Oversight of all aspect of practice management including: Strategic Planning Team Coordination FP&A Data & Reporting Policies & Procedures Legal / Compliance Special Projects Name: CHRISTOPHER STREET FINANCIAL POSITION: Chief Executive Officer NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/01/2023 ADDRESS: 475 Park Avenue South, Suite 2100, New York NY 10016 DESCRIPTION: Accountable for strategic oversight and execution, ensuring that Christopher Street Financial has a clearly defined, long-term plan and is executing against that plan according to a shared vision. Accountability includes managing the Company's overall operations, driving profitability, delegating and directing agendas, and managing the Company's organizational structure.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2021-04-30 |
| S65 | Uniform Investment Adviser Law Examination | 2021-04-12 |
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