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600 Highway 169 South Suite 1410, St. Louis Park, MN 55426 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-03-01 |
Branch Locations
600 Highway 169 South Suite 1410, St. Louis Park, MN 55426 • United States
141 West Green Street, Pasadena, CA 91105 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kestra Investment Services, Llc | Pasadena | CA | 04/2013 | Present |
| Kestra Advisory Services, Inc. | Pasadena | CA | 04/2021 | 02/2023 |
| Oakwood Capital Securities, Inc. | Minneapolis | MN | 02/2023 | Present |
| Oakwood Capital, Inc. | Minneapolis | MN | 02/2023 | Present |
Business Name: FM Financial Services, Inc. Investment Related: Yes Address: 141 West Green Street Pasadena CA 91105 Nature of Business: Insurance Position, Title or Relationship: Principal Start Date: 5/1/2013 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Oversee Health & Welfare business activities Foundation Risk Partners; Location President; non-investment related; 141 West Green Street Pasadena, CA 91105; Insurance brokerage company; since 1/1/2022 to 2/24/2023; 160 hours spent at the business a month, during and after business hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-04-02 |
| S63 | Uniform Securities Agent State Law Examination | 2017-08-15 |
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