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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-10-12 |
| S63 | Uniform Securities Agent State Law Examination | 2007-05-15 |
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