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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 | 2017-10-24 |
Branch Locations
500 Country Pine Lane Ste. 1, Battle Creek, MI 49015 • United States
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Kalamazoo, MI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Planning Group | Battle Creek | MI | 10/2015 | Present |
| Kestra Advisory Services, Llc | Battle Creek | MI | 01/2017 | Present |
| Kestra Investment Services, Llc | Battle Creek | MI | 11/2016 | Present |
Business 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: 11/1/2016 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Provide advice or analysis by making direct or indirect recommendations regarding securities or securities markets; for compensation in any form; and engage in the regular business of providing advice regarding securities. Business Name: The Planning Group Investment Related: Yes Address: 500 Country Pine Lane, Suite 1 Battle Creek MI 49015 Nature of Business: Registered Field Assistant; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial Consultant Start Date: 10/5/2015 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: 1. Prepare financial plans and analysis for clients; participate in client meetings 2. Analyze investment opportunities and client needs, and recommend appropriate strategies 3. Perform various investment and insurance research 4. Actively and positively participate in all levels of client service 5. Maintain client database and electronic record-keeping documentation 6. Attend meetings and continuing education sessions 7. Comply with all industry rules and regulations 8. Execute trades as instructed on client accounts 9. Develop and maintain client base
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 2015-04-04 |
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