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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
MA RA APPROVED 2016-06-21
  • MA RA
    APPROVED
    Since 2016-06-21

Branch Locations

Prudential Tower 800 Boylston Street, 26Th Floor, Boston, MA 02199 • United States

Disclosures

2 disclosure categories 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 Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Kestra Advisory Services, Llc Boston MA 07/2016 Present
Kestra Investment Services, Llc Boston MA 09/2014 Present
Other Businesses

Business 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 Business Name: FINANCIAL ARCHITECTS PARTNERS POSITION: Vice President NATURE: Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 06/02/2014 ADDRESS: 265 Franklin St., Ste. 1102, Boston MA 02110 DESCRIPTION: Business Development

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-09-04
S63 Uniform Securities Agent State Law Examination 1998-08-26
  • S65 Uniform Investment Adviser Law Examination
    1998-09-04
  • S63 Uniform Securities Agent State Law Examination
    1998-08-26

View on SEC IAPD

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