Max K Aten

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

• 08/2009 → 08/2017
  Wfg Investments Inc.
  Springfield, IL
• 08/2017 → Present
  Kestra Investment Services Llc
  Springfield, IL
• 08/2017 → Present
  Kestra Advisory Services Llc
  Springfield, IL

Previous Registrations

• 2009-08-03 → 2017-08-25
  Wfg Advisors, Lp
  Springfield, IL
• 2002-03-27 → 2009-08-11
  Valic Financial Advisors, Inc.
  Springfield, IL
  Peoria, IL
  Peoria, IL
  Springfield, IL

Other Businesses

Name: KB Elliott Financial Advisors Investment Related: Yes Address: 3048 Spring Mill, Suite B Springfield IL 62704 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Managing Partner/Principal Start Date: 8/3/2009 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Manage Springfield Office 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: IAR Start Date: 8/23/2017 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 61% - 70% (85 - 98 hours) Duties: IAR Name: MKA CAPITAL POSITION: Owner NATURE: Administrative pass through INVESTMENT RELATED: No # OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 10/01/2023 ADDRESS: 3048 Spring Mill Drive, Springfield IL 62704, United States DESCRIPTION: None

Exams

• S66 Uniform Combined State Law Examination
  2001-07-03
• S63 Uniform Securities Agent State Law Examination
  1999-05-21

Other Names

• Mick Aten