Brendan Doyle Duggan

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:

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

Current Employers

Employment History

• 02/2013 → 11/2016
  Wells Fargo Advisors, Llc
  Scottsdale, AZ
• 11/2016 → 09/2021
  Wells Fargo Clearing Services, Llc
  Scottsdale, AZ
• 09/2021 → Present
  Kestra Investment Services, Llc
  Phoenix, AZ
• 09/2021 → Present
  Kestra Advisory Services Llc
  Phoenix, AZ

Previous Registrations

• 2013-04-23 → 2021-09-14
  Wells Fargo Clearing Services, Llc
  Phoenix, AZ
  Scottsdale, AZ
  Glendale, AZ
  Sun City, AZ
  Glendale, AZ
  Glendale, AZ
  Peoria, AZ
  Glendale, AZ
  Sun City, AZ
  Sun City, AZ
  Scottsdale, AZ
  Phoenix, AZ
  Glendale, AZ
  Phoenix, AZ
  Phoenix, AZ

Other Businesses

Name: KESTRA ADVISORY SERVICES LLC POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 63 START DATE: 09/08/2021 ADDRESS: 5707 SW Parkway Building 2 Suite 400, Austin TX 78735, United States DESCRIPTION: Financial and Investment Advising NAME: PROMINENT PEAK WEALTH MANAGEMENT POSITION: I'm 50% owner, managing partner NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 09/08/2021 ADDRESS: 15436 E Dixileta Dr, Scottsdale AZ 85262, United States DESCRIPTION: Conduct business of the firm as 50% owner/managing partner. NAME: PROMINENT PEAK TAX AND ESTATE SERVICES POSITION: Owner NATURE: Besides outsourcing tax preparation, which this submission was originally approved for, we will now also be outsourcing basic estate planning services for clients. INVESTMENT RELATED: No # OF HOURS: 5 SECURITIES TRADING HOURS: 4 START DATE: 02/24/2023 ADDRESS: 15436 E Dixileta Dr, Scottsdale AZ 85262, United States DESCRIPTION: Hiring and firing of staff and monitoring of workflows Name: SKINFULLY RICH LLC POSITION: Signor on business bank account NATURE: retail business selling skin and body care products. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 7 START DATE: 08/01/2019 ADDRESS: 15436 E Dixileta Dr, Scottsdale AZ 85262, United States DESCRIPTION: None NAME: BEACHBUMZ LLC POSITION: Member/manager of LLC with spouse NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/03/2022 ADDRESS: 15436 E Dixileta Dr, Scottsdale AZ 85262, United States DESCRIPTION: None, this is a passive investment

Exams

• S66 Uniform Combined State Law Examination
  2013-04-22
• S63 Uniform Securities Agent State Law Examination
  1999-09-20

Other Names

• Brendan D Duggan