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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-02-07 |
| TX | RA | APPROVED | 2022-02-01 |
Branch Locations
112 N Person St, Raleigh, NC 27601 • United States
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Wilmington, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Raleigh | NC | 01/2006 | 01/2022 |
| Kestra Investment Services, Llc | Raleigh | NC | 01/2022 | Present |
| Kestra Advisory Services, Llc | Raleigh | NC | 01/2022 | Present |
1. 12/05/2005 - CUNNINGHAM FINANCIAL - INV REL - AT REPORTED LOCATION - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 2. 09/08/2006 - NO BUSINESS NAME - INV REL - NON-VARIABLE INSURANCE - 20% TIME SPENT - AGENT FOR A GROUP LIFE AND HEALTH INSURANCE TRUST FOR A PROFESSIONAL ASSOCIATION. SALE AND SERVICE OF INSURANCE PRODUCTS 3. 03/18/2008 - NO BUSINESS NAME - INV REL -ACT IN A FIDUCIARY CAPACITY - KATHRYN T. CUNNINGHAM, MY SPOUSE 4. 03/21/2008 - SLY PIG, LLC - INV REL - REAL ESTATE RENTAL - NO TIME SPENT - I OWN THE BUILDING HOUSING MY OFFICE. 5. 09/11/2019 - The Cason Group - Investment related - At reported business location(s) - Non-Variable Insurance - start date:07/22/2019 - 20 hrs/mo - 4 hrs during trading. SLYPIG LLC POSITION: landlord NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2007 ADDRESS: 112 N Person St, Raleigh NC 27601, United States DESCRIPTION: collect rent and maintain the property CUNNINGHAM FINANCIAL POSITION: principal NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/31/2022 ADDRESS: 112 N Person St, Raleigh NC 27601, United States DESCRIPTION: maintain brokerage accounts for clients KAS-KESTRA ADVISORY SERVICES LLC POSITION: iar NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 95 START DATE: 01/31/2022 ADDRESS: 5707 Southwest Parkway, Bldg 2 STE 400, Austin TX 78735, United States DESCRIPTION: IAR
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-07-20 |
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