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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
CA RA APPROVED 2022-08-17
  • CA RA
    APPROVED
    Since 2022-08-17

Branch Locations

6345 Balboa Blvd Suite 290, Encino, CA 91316 • United States

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

Panorama City, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Zuckerman Private Wealth Management Northridge CA 11/2017 05/2019
Kestra Investment Services Llc Encino CA 05/2019 Present
Unemployed Encino CA 07/2011 10/2017
  • 11/2017 → 05/2019
    Zuckerman Private Wealth Management
    Northridge, CA
  • 05/2019 → Present
    Kestra Investment Services Llc
    Encino, CA
  • 07/2011 → 10/2017
    Unemployed
    Encino, CA
Other Businesses

FMS FINANCIAL PARTNERS, INC./ PARTNERS INSURANCE POSITION: Client Services Associate NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 152 SECURITIES TRADING HOURS: 80 START DATE: 05/14/2019 ADDRESS: 6345 Balboa Blvd, Suite 290, Encino CA 91316, United States DESCRIPTION: Manage the opening of new brokerage accounts; Prepare client review documents; Handle new business paperwork related to life insurance, annuities, REITs, and other investments; Service client requests and needs

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-08-13
  • S66 Uniform Combined State Law Examination
    2022-08-13

View on SEC IAPD

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