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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
TX RA APPROVED_RES 2023-10-30
NY RA APPROVED 2021-06-22
  • TX RA
    APPROVED_RES
    Since 2023-10-30
  • NY RA
    APPROVED
    Since 2021-06-22

Branch Locations

80 East Main St., Kings Park, NY 11754 • 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
Fire Dept. City Of Ny Queens NY 05/1993 Present
Mainstreet Financial Group Kings Park NY 10/2013 Present
Kestra Investment Services, Llc. Kings Park NY 10/2013 Present
Kestra Advisory Services, Llc. Kings Park NY 10/2013 Present
  • 05/1993 → Present
    Fire Dept. City Of Ny
    Queens, NY
  • 10/2013 → Present
    Mainstreet Financial Group
    Kings Park, NY
  • 10/2013 → Present
    Kestra Investment Services, Llc.
    Kings Park, NY
  • 10/2013 → Present
    Kings Park, NY
Other Businesses

Business Name: GCS Tax Service Investment Related: No Address: 80 East Main St. Kings Park NY 11754 Nature of Business: Tax/Accounting/CPA Position, Title or Relationship: Owner Start Date: 1/10/2014 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: I prepare individual income tax returns for approximately 300 clients. Most of my business is performed during the months of January to April.Business 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: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory servicesBusiness Name: Main Street Financial Group Investment Related: Yes Address: 80 East Main Street Kings Park NY 11754 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: registered rep Start Date: 5/1/2014 Hours per month: 41% - 50% (65 - 80 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: meet with clients. investment research. paperwork. and marketingBusiness Name: NY City Fire Department Investment Related: No Address: 9 MetroTech Center Brooklyn NY 11201 Nature of Business: Other Other/None of the Above Fire Fighting Position, Title or Relationship: Battalion Cheif Start Date: 5/8/1993 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: Supervision of Fire House

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2013-12-19
  • S63 Uniform Securities Agent State Law Examination
    2013-12-19

View on SEC IAPD

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