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Employer firm

Kestra Advisory Services, LLC CRD 283330

$79.8B regulatory AUM 6,392 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

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 2023-07-27
CA RA APPROVED 2016-04-21
  • TX RA
    APPROVED_RES
    Since 2023-07-27
  • CA RA
    APPROVED
    Since 2016-04-21

Branch Locations

6345 Balboa Blvd. Suite 290, Encino, CA 91316 • United States

Huntington Beach, CA • United States

Disclosures

1 disclosure category 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Pacific Ins. Mgt. Co. Woodland Hills CA 06/1981 Present
Pacific Insurance Management Corp Encino CA 01/1983 Present
Fms Financial Partners, Inc Los Angeles CA 09/1983 Present
Kestra Advisory Services, Llc Encino CA 04/2016 Present
Kestra Investment Services, Llc Encino CA 12/1997 Present
  • 06/1981 → Present
    Pacific Ins. Mgt. Co.
    Woodland Hills, CA
  • 01/1983 → Present
    Pacific Insurance Management Corp
    Encino, CA
  • 09/1983 → Present
    Fms Financial Partners, Inc
    Los Angeles, CA
  • 04/2016 → Present
    Encino, CA
  • 12/1997 → Present
    Kestra Investment Services, Llc
    Encino, CA
Other Businesses

Name: FMS Financial Partners, Inc. Inv Rel: Y Address: 6345 Balboa Blvd. Suite 290 Encino CA 91316 NOB: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Invstmnt Advisory srvcs thru Kestra Advisory Srvcs, LLC POS: Chief Executive Officer, shareholder, Mmbr of Mngmnt committee. Strt Date: 4/22/1984 Hrs /mo: 81% - 90% (129 - 144 hrs) Hrs /mo during trading hrs: 51% - 60% (71 - 84 hrs) Duties: Customary activities of securities and insurances licensees. Name: Kestra Advisory Services, LLC Inv Rel: Y Address: 1250 Capital of Texas Highway, Bldng 2 Suite 125 Austin TX 78746 NOB: Investment Advisory srvcs thru Kestra Advisory Srvcs, LLC POS: Investment Advisor Representative Strt Date: 4/4/2016 Hrs /mo: Up to 100% (0 to 160 hrs) Hrs /mo during trading hrs: Up to 100% (0 to 160 hrs) Duties: Investment advisory srvcs Name: Pacific Insurance Management Corp. Inv Rel: Y Address: 6345 Balboa Blvd. Suite 290 Encino CA 91316 NOB: Insurance POS: Other,Moved to Other from Officer Strt Date: 8/2/1978 Hrs /mo: 0% - 10% (0 - 16 hors) Hrs /mo during trading hrs: 0% - 10% (0 - 14 hrs) Duties: i am the sole owner Name: Partners Insurance Inv Rel: Y Address: 6345 Balboa Blvd #290 Encino CA 91316 NOB: Insurance POS: BOARD MMBR. SECRETARY Start Date: 6/1/2006 Hrs /mo: 11% - 20% (17 - 32 hrs) Hrs /mo during trading hrs: 11% - 20% (15 - 28 hrs) Duties: I SIT ON THE MNGMNT COMMITTEE MTNGS 3 TIMES PER YEAR Name: Tourette Association of America Inv Rel: N Address: 42-40 Bell Blvd. Bayside NY 11361 NOB: Board Position (Board of Directors, Board of Trustees, etc.) POS: Board mmbr Strt Date: 4/22/1990 Hrs /mo: 0% - 10% (0 - 16 hrs) Hrs /mo during trading hrs: 0% - 10% (0 - 14 hrs) Duties: Attend Board mtngs; Vote on policy matters; Approve annual budget; Supervise operation of 403(b) plan; Supervise mngmnt of org assets; Strategic planning; Discuss and debate issues that come before the Board Name: Carver C-52 Marine, LLC Inv Rel: N Address: 6345 Balboa Blvd. Ste 290 Encino CA 91316 NOB: Other Other/None of the Above use and mntnce of boat POS: Sole mmbr Start Date: 8/6/2018 Hrs /mo: 0% - 10% (0 - 16 hrs) Hrs /mo during trading hrs: 0% - 10% (0 - 14 hrs) Duties: Using and mntng the boat Name: CHERRY COVE YACHT CLUB POS: Board member NOB: Board position INV REL: N #OF HRS: 1 SECURITIES TRADING HRS: 0 START DATE: 09/04/2022 ADDRESS: 2855 E. Coast Highway, Suite 102, Corona Del Mar CA 92625 DESC: Attend 2 Board meetings per year. Attend annual dinner. Name: RED SCHOOLHOUSE, INC. POSITION: I will be President NATURE: President INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/27/2026 ADDRESS: 320 N. HalsteadSt., Suite 220, Pasadena CA 91107, United States DESCRIPTION: Lead Board meetings and discuss educational plans. It is a volunteer position.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-02-03
  • S63 Uniform Securities Agent State Law Examination
    1995-02-03
Designations
  • Certified Financial Planner

View on SEC IAPD

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