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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
VA RA APPROVED 2016-05-05
  • VA RA
    APPROVED
    Since 2016-05-05

Branch Locations

1173 Jefferson Green Circle Unit 3A, Midlothian, VA 23113 • United States

Suffolk, VA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Securities America Inc. Norfolk VA 09/2005 Present
Sterling Benefits Brokerage, Llc. Norfolk VA 01/2005 Present
Sterling Asset Management, Llc. Norfolk VA 10/2005 Present
Sterling Benefits, Llc Norfolk VA 10/2003 Present
Kestra Advisory Services, Llc Virginia Beach VA 04/2016 Present
Kestra Investment Services, Llc Virginia Beach VA 01/2014 Present
  • 09/2005 → Present
    Securities America Inc.
    Norfolk, VA
  • 01/2005 → Present
    Sterling Benefits Brokerage, Llc.
    Norfolk, VA
  • 10/2005 → Present
    Sterling Asset Management, Llc.
    Norfolk, VA
  • 10/2003 → Present
    Sterling Benefits, Llc
    Norfolk, VA
  • 04/2016 → Present
    Virginia Beach, VA
  • 01/2014 → Present
    Kestra Investment Services, Llc
    Virginia Beach, VA
Previous Registrations
  • 2005-01-26 → 2014-07-01
    Sterling Asset Management, Llc
    Norfolk, VA
    Virginia Beach, VA
Other Businesses

Name: Sterling Benefits Holdings, Inc. Investment Related: No Address: 1173 Jefferson Green Circle Unit 3A Midlothian VA 23113 Nature of Business: Other Other/None of the Above Holding company that pays employees and other bills of the firm Position, Title or Relationship: Employee Start Date: 10/1/2003 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: generate commissions and fees through my NFP activities 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: STERLING BENEFITS HOLDINGS, INC. POSITION: Employee NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 7 START DATE: 10/01/2003 ADDRESS: 1173 Jefferson Green Circle Unit 3A, Midlothian VA 23113, United States DESCRIPTION: generate commissions and fees through my Kestra and fixed insurance activities

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-01
S63 Uniform Securities Agent State Law Examination 1999-06-18
  • S65 Uniform Investment Adviser Law Examination
    1999-07-01
  • S63 Uniform Securities Agent State Law Examination
    1999-06-18
Designations

View on SEC IAPD

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