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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
TX RA APPROVED_RES 2023-07-27
IL RA APPROVED 2016-04-19
  • TX RA
    APPROVED_RES
    Since 2023-07-27
  • IL RA
    APPROVED
    Since 2016-04-19

Branch Locations

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

570 Lake Cook Rd. Suite 115, Deerfield, IL 60015 • United States

Libertyville, IL • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Kestra Investment Services, Llc Lake Forrest IL 09/2007 Present
Kestra Advisory Services, Llc Lake Forrest IL 04/2016 Present
Other Businesses

Name: Trustee for Parents Trusts Investment Related: No Address: 989 S. Ridge Rd. Lake Forest IL 60045 Nature of Business: Other Other/None of the Above Trustee for Parents trust Position, Title or Relationship: Other,Trustee Start Date: 1/5/2010 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Trustee for Parents trust Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Name: BENEFIT PLANNING SERVICES NFP CORPORATE SERVICES O POSITION: Senior Vice President NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 132 START DATE: 10/01/2014 ADDRESS: 570 Lake Cook Rd, STE 115, Deerfield IL 60015, United States DESCRIPTION: sales

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-02-09
S63 Uniform Securities Agent State Law Examination 2006-09-09
  • S65 Uniform Investment Adviser Law Examination
    2007-02-09
  • S63 Uniform Securities Agent State Law Examination
    2006-09-09
Designations

View on SEC IAPD

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