Joseph Stone

Current Employers

Kestra Advisory Services, Llc

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

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2016-08-01
CO	RA	APPROVED	2016-04-20

MA RA
APPROVED

Since 2016-08-01
CO RA
APPROVED

Since 2016-04-20

Branch Locations

Hingham, MA • United States

23 Spruce Street, Steamboat Springs, CO 80487 • 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

Organization	City	State	From	To
Berkshire Life	Boston	MA	02/1981	Present
Kestra Advisory Services, Llc	Steamboat Springs	CO	04/2016	Present
Kestra Investment Services, Llc	Steamboat Springs	CO	07/1997	Present

02/1981 → Present

Berkshire Life

Boston, MA
04/2016 → Present

Kestra Advisory Services, Llc

Steamboat Springs, CO
07/1997 → Present

Kestra Investment Services, Llc

Steamboat Springs, CO

Other Businesses

Business Name: MSW Investment Related: Yes Address: 35 Wanders Drive Hingham MA 02043 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Owner Start Date: 7/31/1997 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Hiring and firing my employees. purchasing equipment and services. 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 services Business Name: David B Rudolph Insurance Trust Investment Related: No Address: 35 Wanders Drive Hingham MA 02043 Nature of Business: Insurance; Legal/Attorney/Trustee/Executor Position, Title or Relationship: Owner Start Date: 7/3/1990 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: To be a co-rustee of an old life contract- Business Name: SUSAN S. STONE REVOCABLE TRUST POSITION: Co trustee NATURE: Legal/Attorney/Trustee/Executor INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/09/2023 ADDRESS: 35 Wanders Drive, Hingham MA 02043 DESCRIPTION: as trustee

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1998-12-21
S65	Uniform Investment Adviser Law Examination	1998-03-06

S63 Uniform Securities Agent State Law Examination

1998-12-21
S65 Uniform Investment Adviser Law Examination

1998-03-06