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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-10-04 |
| CA | RA | APPROVED | 2023-10-03 |
Branch Locations
3323 Old Conejo Rd., Newbury Park, CA 91320 • United States
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Ventura, CA • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley & Co. Incorporated | Oxnard | CA | 12/2008 | 04/2019 |
| Morgan Stanley Smith Barney | Oxnard | CA | 06/2009 | 04/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 04/2019 |
| Sagepoint Financial, Inc | Newbury Park | CA | 04/2019 | 09/2023 |
| Osaic Wealth, Inc. | Newbury Park | CA | 09/2023 | 10/2023 |
| Kestra Investment Services, Llc | Newbury Park | CA | 10/2023 | Present |
| Kestra Advisory Services, Llc | Newbury Park | CA | 10/2023 | Present |
Business Name: FINANCIALPOINTE POSITION: RR NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/27/2023 ADDRESS: 3323 Old Conejo Rd., Newbury Park CA 91320 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: 09/27/2023 ADDRESS: 5707 Southwest Parkway Building 2 Suite 400, Austin TX 78735 DESCRIPTION: IAR
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-01-22 |
| S63 | Uniform Securities Agent State Law Examination | 1982-12-20 |
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