Carl Pultz Flanagan

Current Employers

Employment History

• 01/2012 → 01/2018
  Sii Investments
  San Antonio, TX
• 01/2018 → Present
  Kestra Investment Services, Llc
  San Antonio, TX
• 01/2018 → Present
  Kestra Advisory Services, Llc
  San Antonio, TX

Previous Registrations

• 2012-01-05 → 2018-01-03
  Sii Investments, Inc.
  San Antonio, TX
  San Antonio, TX
  Appleton, WI
• 2007-09-19 → 2012-01-30
  Kestra Investment Services, Llc
  Austin, TX
  San Antonio, TX

Other Businesses

Name: Griffin Financial Group Investment Related: Yes Address: 4901 Broadway, Suite 200 San Antonio TX 78209 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Registered Representative, Investment Adviser Representative Start Date: 3/1/1993 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Registered Rep, IAR Name: Kestra Advisory Services LLC Investment Related: Yes Address: 5707 Southwest Parkway, Bldg 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: IAR Start Date: 1/3/2018 Hours per month: 81% - 90% (129 - 144 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: investment management Name: Carl P. Flanagan III Investment Related: No Address: PO Box 90014 San Antonio TX 78209 Nature of Business: Other Other/None of the Above Officiate Youth, MS. HS & College lacrosse games Position, Title or Relationship: Lacrosse Official Start Date: 1/1/2003 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Travel to locations and Officiate games Name: Magic Wand Lacrosse Investment Related: No Address: PO Box 90014 San Antonio TX 78209 Nature of Business: Other Other/None of the Above organize players, collect dues and pay tournament registration fees and uniforms for 1 lacrosse tournament a year Position, Title or Relationship: organizer Start Date: 1/1/1994 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: organize players, collect dues and pay tournament registration fees and uniforms for 1 lacrosse tournament a year Name: SAN ANTONIO LACROSSE OFFICIALS ASSOCIATION POSITION: Vice President NATURE: Services INVESTMENT RELATED: No # OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/09/2022 ADDRESS: 4901 Broadway, Suite 200, San Antonio TX 78209, United States DESCRIPTION: Primary Duty is coordination of training new officials and continuing Education for existing Officials. Secondary duty is preside over Chapter meetings when President cannot attend Name: CHIP FLANAGAN POSITION: Lacrosse Official NATURE: Officiate lacrosse games INVESTMENT RELATED: No # OF HOURS: 40 SECURITIES TRADING HOURS: 7 START DATE: 01/01/1992 ADDRESS: PO Box 90014, San Antonio TX 78209, United States DESCRIPTION: Travel to various locations throughout the state and officiate lacrosse games. Most games are in San Antoinio however I have travelled to Austin, Corpus Christi, Lubbock and Dallas to officiate games. Depending on my assignment I have to reach out to the Home team Coach to coordinate and confirm game site and time as well as then coordinate with the crew that information. Name: CARL P FLANAGAN III POSITION: Office Leaseholder NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2024 ADDRESS: 4901 Broadway, Suite 200, Griffin Financial Group TX 78209, United States DESCRIPTION: As office leaseholder, I collect and pay the utilities bill as we all as pay the monthly rent. Then I collect the proportional share of each tenant Name: LOS ABUELOS LACROSSE POSITION: organizer NATURE: Annual Tournament Lacrosse Team INVESTMENT RELATED: No # OF HOURS: 8 SECURITIES TRADING HOURS: 7 START DATE: 01/01/1994 ADDRESS: PO Box 90014, San Antonio TX 78209, United States DESCRIPTION: organize players, collect dues and pay tournament registration fees and uniforms for 1 lacrosse tournament a year

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-09-18
• S63 Uniform Securities Agent State Law Examination
  1981-09-25

Other Names

• Iii Carl Pultz Flanagan
• Chip Flanagan
• Carl P. Flanagan