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Current Employers
Kestra Advisory Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2024-09-04
  • MI RA
    APPROVED
    Since 2024-09-04

Branch Locations

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

207 W Chicago Rd, Sturgis, MI 49091 • 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
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. Sturgis MI 07/2016 03/2018
Sturgis Bank & Trust Sturgis MI 10/2004 03/2018
Summit Brokerage Services, Inc. Sturgis MI 03/2018 09/2019
Cetera Advisor Networks Llc Sturgis MI 09/2019 08/2024
Keim Financial Group Sturgis MI 03/2020 09/2024
Cetera Investment Advisers Llc Schaumburg IL 06/2023 09/2024
Kestra Investment Services, Llc Sturgis MI 09/2024 Present
Kestra Advisory Services, Llc Sturgis MI 09/2024 Present
  • 07/2016 → 03/2018
    Raymond James Financial Services, Inc.
    Sturgis, MI
  • 10/2004 → 03/2018
    Sturgis Bank & Trust
    Sturgis, MI
  • 03/2018 → 09/2019
    Summit Brokerage Services, Inc.
    Sturgis, MI
  • 09/2019 → 08/2024
    Cetera Advisor Networks Llc
    Sturgis, MI
  • 03/2020 → 09/2024
    Keim Financial Group
    Sturgis, MI
  • 06/2023 → 09/2024
    Schaumburg, IL
  • 09/2024 → Present
    Kestra Investment Services, Llc
    Sturgis, MI
  • 09/2024 → Present
    Sturgis, MI
Previous Registrations
Other Businesses

Business Name: KEIM FINANCIAL GROUP POSITION: Registered Professional NATURE: Registered Field Assistant INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 03/16/2018 ADDRESS: 207 W Chicago Rd, Sturgis MI 49091 DESCRIPTION: Client reviews Client trade requests Initial prospect meetings Business Name: NOTARY POSITION: Notary NATURE: Notary INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2014 ADDRESS: 207 W Chicago Rd, Sturgis MI 49091 DESCRIPTION: Notarize documents Business Name: KESTRA ADVISORY SERVICES POSITION: Registered Professional NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/04/2024 ADDRESS: 5707 Southwest Parkway, Bldg 2, Ste 400, Austin TX 78735 DESCRIPTION: Client reviews client meetings initial prospect meetings client transactions and trades

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-10-12
S63 Uniform Securities Agent State Law Examination 2007-05-15
  • S66 Uniform Combined State Law Examination
    2021-10-12
  • S63 Uniform Securities Agent State Law Examination
    2007-05-15
Other Names
  • Ashley M Mcclain

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