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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
TX RA APPROVED_RES 2024-06-19
FL RA APPROVED 2022-02-03
  • TX RA
    APPROVED_RES
    Since 2024-06-19
  • FL RA
    APPROVED
    Since 2022-02-03

Branch Locations

8245 Devereux Drive Suite 103, Melbourne, FL 32940 • United States

2420 S. Lakemont Ave Suite 120, Orlando, FL 32814 • United States

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Voya Financial Advisors Des Moines IA 09/2014 02/2020
Concourse Financial Group Securities (Fka Proequities, Inc.) Orlando FL 02/2020 01/2022
Kestra Investment Services, Llc Orlando FL 01/2022 Present
Kestra Advisory Services, Llc Orlando FL 01/2022 Present
  • 09/2014 → 02/2020
    Voya Financial Advisors
    Des Moines, IA
  • 02/2020 → 01/2022
    Concourse Financial Group Securities (Fka Proequities, Inc.)
    Orlando, FL
  • 01/2022 → Present
    Kestra Investment Services, Llc
    Orlando, FL
  • 01/2022 → Present
    Orlando, FL
Previous Registrations
  • 2020-02-17 → 2022-02-25
    Concourse Financial Group Securities, Inc.
    Orlando, FL
  • 2004-01-01 → 2020-03-12
    Johns Island, SC
    Altamonte Springs, FL
    Altamonte, FL
  • 2002-02-02 → 2004-01-01
    Locust Street Securities, Inc.
    Altamonte Springs, FL
Other Businesses

1) (dba) Security Financial Management, Inc.; Investment Related; 2420 S Lakemont Avenue, Suite 120, Orlando, FL 32814; Insurance and Financial Services; Financial Advisor; Start Date 02/2020; 160 hours per month with all hours occurring during trading hours; Securities and Financial Planning.// 2) (dba) Quantitative Wealth Management; Investment Related; 2420 S Lakemont Avenue, Suite 120, Orlando, FL 32814; Insurance; President; Start Date 06/2009; 4 hours per month with all hours occurring during trading hours; "Doing Business As" name for general insurance and fixed insurance product sales. KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 02/01/2022 ADDRESS: 5707 SW Parkway, Building 2 Suite 400, Austin TX 78735, United States DESCRIPTION: Fee based asset management SECURITY FINANCIAL MANAGEMENT POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2022 ADDRESS: 2420 S. Lakemont Ave, Suite 120, Orlando FL 32814, United States DESCRIPTION: Insurance sales

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2004-12-09
S65 Uniform Investment Adviser Law Examination 1998-05-01
  • S63 Uniform Securities Agent State Law Examination
    2004-12-09
  • S65 Uniform Investment Adviser Law Examination
    1998-05-01

View on SEC IAPD

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