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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-08-21 |
Branch Locations
60 Avon Meadow Lane, Avon, CT 06001 • United States
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc | South Windsor | CT | 07/2016 | 03/2018 |
| Equity Services, Inc. | Montpelier | VT | 05/2018 | 11/2018 |
| Maffe Financial Group | Glastonbury | CT | 03/2018 | 10/2018 |
| Shp Wealth Management, Llc | Woburn | MA | 11/2018 | 02/2023 |
| Student | Amherst | MA | 08/2014 | 10/2016 |
| Wise Wealth Llc | Prospect | CT | 11/2023 | 01/2024 |
| Kestra Advisory Services, Llc | Avon | CT | 08/2024 | Present |
| Unemployed | Vernon | CT | 03/2023 | 11/2023 |
| Unemployed | West Hartford | CT | 02/2024 | 07/2024 |
NAME: Kestra Advisory Services, LLC POSITION: Financial Planning Specialist NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 128 START DATE: 08/05/2024 ADDRESS: 5707 Southwest Parkway Building 2, Suite 400 Austin, Texas 78735 DESCRIPTION: N/A
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-08-27 |
| S63 | Uniform Securities Agent State Law Examination | 2016-10-18 |
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