David Jay Brandt

Employer firm

Kestra Private Wealth Services, LLC CRD 155193

$13.5B regulatory AUM 109 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2009 → 02/2020
  Ameriprise Financial Services, Inc.
  Irvine, CA
• 02/2020 → Present
  Kestra Investment Services
  Brea, CA
• 02/2020 → Present
  Kestra Private Wealth Services
  Brea, CA

Previous Registrations

• 2009-11-06 → 2020-02-25
  Ameriprise Financial Services, Llc
  Los Angeles, CA
  Minneapolis, MN
  Irvine, CA
  San Diego, CA
  Glendale, CA
  Newport Beach, CA
• 1999-05-11 → 2009-09-28
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Ontario, CA
  Ontario, CA

Other Businesses

Name: California Wealth Transitions Investment Related: Yes Address: 3 Pointe Dr Suite 111 Brea CA 92821 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through an independent outside RIA Position, Title or Relationship: DBA to KPWS Start Date: 2/12/2020 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: DBA to KPWS Name: Highline Educational Foundation (HEF) Investment Related: No Address: 2005 Winston Court Upland CA 91784 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Vice President Start Date: 9/1/2010 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Go to monthly Board meetings. Approve grant requests Name: Rental Property Investment Related: No Address: 656 Ukiah Way Upland CA 91786 Nature of Business: Real Estate Position, Title or Relationship: owner Start Date: 6/1/2000 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: collect rent make repairs Name: CALIFORNIA WEALTH TRANSITIONS POSITION: DBA to KPWS, consultant NOB: Insurance INV REL: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 02/12/2020 ADDRESS: 3 Pointe Dr Suite 111, Brea CA 92821, United States DESCRIPTION: DBA to KPWS, financial planning, insurance, consulting Name: DAVID JAY BRANDT AND ASSOCIATES INC POSITION: President NATURE: This is my S- Corp through which all my Kestra and NFS income flows. INVESTMENT RELATED: Yes # OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/24/2025 ADDRESS: 3 Pointe Dr Ste. 111, Brea CA 91784, United States DESCRIPTION: I own and run the S- Corp.

Exams

• S66 Uniform Combined State Law Examination
  1999-02-18

Designations

• Certified Financial Planner

Other Names

• David J Brandt