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Current Employers
Kestra Private Wealth Services, Llc

5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-05-21
  • NY RA
    APPROVED
    Since 2024-05-21

Branch Locations

5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735 • United States

90 Crystal Run Road Suite 101, Middletown, NY 10941 • 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
Pgim Investments Newark NJ 07/2022 04/2023
Prudential Investment Management Services Llc Newark NJ 07/2022 04/2023
Fidelity Deposit And Discount Bank Dunmore PA 06/2021 08/2021
Lowe's Home Improvement Chester NY 05/2020 06/2020
Bergen Brick Stone And Tile Wyckoff NJ 06/2019 08/2019
Uncle Giuseppe's Marketplace Ramsey NJ 09/2015 02/2018
University Of Scranton Scranton PA 08/2018 06/2022
Don Bosco Prep High School Ramsey NJ 09/2014 06/2018
Kestra Investment Services, Llc Middletown NY 07/2023 Present
Kestra Private Wealth Services, Llc Middletown NY 07/2023 Present
  • 07/2022 → 04/2023
    Pgim Investments
    Newark, NJ
  • 07/2022 → 04/2023
    Prudential Investment Management Services Llc
    Newark, NJ
  • 06/2021 → 08/2021
    Fidelity Deposit And Discount Bank
    Dunmore, PA
  • 05/2020 → 06/2020
    Lowe's Home Improvement
    Chester, NY
  • 06/2019 → 08/2019
    Bergen Brick Stone And Tile
    Wyckoff, NJ
  • 09/2015 → 02/2018
    Uncle Giuseppe's Marketplace
    Ramsey, NJ
  • 08/2018 → 06/2022
    University Of Scranton
    Scranton, PA
  • 09/2014 → 06/2018
    Don Bosco Prep High School
    Ramsey, NJ
  • 07/2023 → Present
    Kestra Investment Services, Llc
    Middletown, NY
  • 07/2023 → Present
    Middletown, NY
Other Businesses

Business Name: MUNDI FINANCIAL POSITION: Wealth Management Associate NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/05/2023 ADDRESS: 90 Crystal Run, Middletown NY 10941 DESCRIPTION: I will be assisting on projects within all departments of the firm, as well as training/shadowing with my colleagues in order to develop a strong knowledge of the firms business practices. I will also be preparing for various FINRA qualification exams including the Series 7 and 66 and expected to pass both over the first 6 months of my time on the job and then state insurance licensing within a year of starting.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-05-21
  • S66 Uniform Combined State Law Examination
    2024-05-21

View on SEC IAPD

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