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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
NM RA APPROVED 2017-11-02
TX RA APPROVED 2017-11-01
  • NM RA
    APPROVED
    Since 2017-11-02
  • TX RA
    APPROVED
    Since 2017-11-01

Branch Locations

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

5130 Masthead St. Suite C, Albuquerque, NM 87109 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Sii Investments Albuquerque NM 10/2010 11/2017
Davis Advisory Group Albuquerque NM 01/1993 Present
Kestra Investment Services, Llc Albuquerque NM 11/2017 Present
Kestra Advisory Services, Llc Albuquerque NM 11/2017 Present
  • 10/2010 → 11/2017
    Sii Investments
    Albuquerque, NM
  • 01/1993 → Present
    Davis Advisory Group
    Albuquerque, NM
  • 11/2017 → Present
    Kestra Investment Services, Llc
    Albuquerque, NM
  • 11/2017 → Present
    Albuquerque, NM
Previous Registrations
  • 2011-05-25 → 2017-11-02
    Sii Investments, Inc.
    Albuquerque, NM
Other Businesses

Business Name: Davis Advisory Group, LLC Investment Related: Yes Address: 100 Sun Ave. NE Suite 204 Albuquerque NM 87109 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Manager, Member of Davis Advisory Group, LLC IAR and Insurance Agent Start Date: 11/1/2017 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Developing financial plans, managing client investment accounts, and developing and selling insurance plans including life insurance, long term care, fixed annuities and Medicare SupplementsBusiness Name: KestraAdvisory 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: 11/1/2017 Hours per month: 31% - 40% (49 - 64 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: Investment Advisory Representative offering financial planning and fee based managed accounts

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-05-24
  • S66 Uniform Combined State Law Examination
    2011-05-24
Other Names
  • Pamela Sue Davis
  • Pamela Deweber

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