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Current Employers
Kestra Private Wealth Services, Llc

5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-07-27
CA RA APPROVED 2014-09-23
  • TX RA
    APPROVED_RES
    Since 2023-07-27
  • CA RA
    APPROVED
    Since 2014-09-23

Branch Locations

42035 12 Th W Ste 104, Lancaster, CA 93534 • United States

5707 Southwest Parkway Bldg. 2 Ste 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 Investment Services, Llc Austin TX 08/2014 Present
Kestra Private Wealth Services, Llc Palmdale CA 08/2014 Present
Previous Registrations
  • 2009-06-01 → 2014-10-06
    Palmdale, CA
    Pasadena, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Pasadena, CA
    Palmdale, CA
  • 1997-07-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Palmdale, CA
Other Businesses

Business Name: Dickinson Graham Capital Management Investment Related: Yes Address: 42053 10th Street West Lancaster CA 93534 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through an independent outside RIA Position, Title or Relationship: Wealth Advisor Start Date: 9/22/2014 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Wealth Manager Business Name: DatAsset LLC Investment Related: No Address: 2624 West Avenue N12 Palmdale CA 93534 Nature of Business: Other Other/None of the Above Pass through LLC to manage expenses of DBA Position, Title or Relationship: Owner Start Date: 9/21/2014 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Pass through LLC to manage expenses of DBA Business Name: alicia dickinson memorial foundation Investment Related: No Address: 40950 10th street west lancaster CA 93534 Nature of Business: Other Other/None of the Above prevention of pet over population Position, Title or Relationship: Secretary treasurer Start Date: 6/18/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: bill paying Business Name: CATS ON PAWTROL POSITION: secretary and founder NATURE: Charity INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 04/30/2023 ADDRESS: 42035 12th Street West, Suite 104, lancaster CA 93534, United States DESCRIPTION: trap, neuter and return of feral cats

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-03
S63 Uniform Securities Agent State Law Examination 1995-07-19
  • S65 Uniform Investment Adviser Law Examination
    1995-10-03
  • S63 Uniform Securities Agent State Law Examination
    1995-07-19
Other Names
  • Nadia Alicia Dickinson
  • Nadia Alicia Aquino

View on SEC IAPD

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