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Employer firm

Kestra Advisory Services, LLC CRD 283330

$79.8B regulatory AUM 6,392 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:

Current Employers
Kestra Advisory Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2023-10-27
  • MD RA
    APPROVED
    Since 2023-10-27

Branch Locations

2 Locust Lane Suite 301, Westminster, MD 21157 • United States

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Massmutual Life Insurance Company Hunt Valley MD 04/2010 Present
Kestra Advisory Services, Llc Arlington VA 04/2016 Present
Kestra Investment Services, Llc Arlington VA 08/2015 Present
  • 04/2010 → Present
    Massmutual Life Insurance Company
    Hunt Valley, MD
  • 04/2016 → Present
    Arlington, VA
  • 08/2015 → Present
    Kestra Investment Services, Llc
    Arlington, VA
Previous Registrations
Other Businesses

Name: Clear Canyon Holdings, LLC Investment Related: Yes Address: 1935 Brown Rd. Finksburg MD 21048 Nature of Business: Real Estate Title: Sole Member Start Date: 2/24/2017 Hrs/mth: 0% - 10% (0 - 16 hours) Hrs/mth during trading hours: 0% - 10% (0 - 14 hours) Duties: Make decisions on real estate investments. 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 Title: Investment Advisor Representative Start Date: 4/4/2016 Hrs/mth: Up to 100% (0 to 160 hours) Hrs/mth during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Name: Chain Bridge Financial Group, LLC Investment Related: Yes Address: 1100 Glebe Rd. Suite 1010 Arlington VI 22201 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Title: Managing Principal Start Date: 11/17/2015 Hrs/mth: 100%+ (More than 160 hours) Hrs/mth during trading hours: 91% - 100% (127 - 140 hours) Duties: Investment advisory and employee benefit consulting.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-01-16
S63 Uniform Securities Agent State Law Examination 2004-10-13
  • S65 Uniform Investment Adviser Law Examination
    2013-01-16
  • S63 Uniform Securities Agent State Law Examination
    2004-10-13

View on SEC IAPD

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