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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2016-04-26 |
Branch Locations
45 Eisenhower Drive, Suite 550, NJ 07652 • United States
Glen Rock, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kestra Financial Services, Inc. | Austin | TX | 04/2016 | Present |
Business Name: Wealth Preservation Solutions, LLC Investment Related: Yes Address: 257 E. Ridgewood Avenue Suite 305 Ridgewood NJ 07450 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Employee Start Date: 1/27/2006 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: I assist (3) Registered Reps with their clients, establishing accounts, reporting, executing orders, keeping the branch office's books and records up to date etc.,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 servicesBusiness 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: Director of Asset Management Start Date: 1/27/2006 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: For the one joint client with Robert Davis, I review their plan annually and any recommendations made by Robert. I am the contact person for WPS investment clients service items.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-29 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-12 |
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