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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
AZ RA APPROVED 2024-05-08
TX RA APPROVED 2024-05-01
  • AZ RA
    APPROVED
    Since 2024-05-08
  • TX RA
    APPROVED
    Since 2024-05-01

Branch Locations

630 East Hwy 260, Payson, AZ 85541 • United States

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Vanguard Group, Inc. Scottsdale AZ 05/2013 06/2018
Commonwealth Financial Network Waltham MA 07/2018 03/2019
Kevin Dick Investment Management Group Payson AZ 07/2018 03/2019
Commonwealth Financial Network Waltham CA 03/2019 05/2024
Kevin Dick Investment Management Group Payson AZ 03/2019 05/2024
Kestra Investment Services, Llc Payson AZ 05/2024 Present
Kestra Advisory Services, Llc Payson AZ 05/2024 Present
  • 05/2013 → 06/2018
    The Vanguard Group, Inc.
    Scottsdale, AZ
  • 07/2018 → 03/2019
    Waltham, MA
  • 07/2018 → 03/2019
    Kevin Dick Investment Management Group
    Payson, AZ
  • 03/2019 → 05/2024
    Waltham, CA
  • 03/2019 → 05/2024
    Kevin Dick Investment Management Group
    Payson, AZ
  • 05/2024 → Present
    Kestra Investment Services, Llc
    Payson, AZ
  • 05/2024 → Present
    Payson, AZ
Previous Registrations
Other Businesses

Business Name: RVN3 FOUNDATION POSITION: Board Member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2018 ADDRESS: 111 W. Bonita St., Payson AZ 85541, United States DESCRIPTION: Help with vision and direction of the foundation. Business Name: KDI WEALTH MANAGEMENT POSITION: RR NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/01/2024 ADDRESS: 630 E Hwy 260, Payson AZ 85541, United States DESCRIPTION: RR Business Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/01/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Austin TX 78735, United States DESCRIPTION: IAR Business Name: SUBSTITUTE TEACHER POSITION: Substitute Teacher NATURE: Teaching INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 08/31/2025 ADDRESS: 902 W. Main St, Payson AZ 85541, United States DESCRIPTION: Educating Kids

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-08-09
S63 Uniform Securities Agent State Law Examination 2013-07-11
  • S65 Uniform Investment Adviser Law Examination
    2018-08-09
  • S63 Uniform Securities Agent State Law Examination
    2013-07-11
Designations

View on SEC IAPD

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