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Current Employers
Kestra Advisory Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2016-04-20
  • CT RA
    APPROVED
    Since 2016-04-20

Branch Locations

555 Heritage Road, Southbury, CT 06488 • United States

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • 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
Kestra Advisory Services, Llc Southbury CT 04/2016 Present
Kestra Investment Services, Llc Southbury CT 08/2003 Present
Previous Registrations
  • 2003-05-13 → 2004-11-10
    Tr Paul Investment Services, Llc
    Newtown, CT
Other Businesses

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: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Name: TR Paul Inc. Investment Related: No Address: 14 Commerce Road Newtown CT 06470 Nature of Business: Other TPA Position, Title or Relationship: Employee Start Date: 4/13/1993 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: I consult on compliance and plan design features for client associated with NFPAS as well as those that are not associated with NFPAS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-03-20
  • S66 Uniform Combined State Law Examination
    2000-03-20
Other Names
  • Emily Anne Lichtenwalner

View on SEC IAPD

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