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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
FL RA APPROVED 2024-10-08
TX RA APPROVED_RES 2024-10-01
  • FL RA
    APPROVED
    Since 2024-10-08
  • TX RA
    APPROVED_RES
    Since 2024-10-01

Branch Locations

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States

2424 N Federal Hwy, Ste 400, Boca Raton, FL 33431 • 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
National Securities Corporation Boca Raton FL 01/2004 07/2022
B. Riley Wealth Advisors Boca Raton FL 05/2004 10/2024
B. Riley Wealth Management Boca Raton FL 07/2022 10/2024
Kestra Investment Services Llc Boca Raton FL 10/2024 Present
Kestra Advisory Services Llc Boca Raton FL 10/2024 Present
  • 01/2004 → 07/2022
    National Securities Corporation
    Boca Raton, FL
  • 05/2004 → 10/2024
    B. Riley Wealth Advisors
    Boca Raton, FL
  • 07/2022 → 10/2024
    B. Riley Wealth Management
    Boca Raton, FL
  • 10/2024 → Present
    Kestra Investment Services Llc
    Boca Raton, FL
  • 10/2024 → Present
    Boca Raton, FL
Previous Registrations
Other Businesses

Business Name: KESTRA ADVISORY SERVICES POS: IAR NOB: Investment advisory services through Kestra Advisory Services, LLC INV REL: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/26/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESC: IAR Business Name: WEALTH EMPOWERMENT FINANCIAL STRATEGIES POS: owner officer NOB: Registered rep activities through Kestra Investment Services INV REL: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/27/2024 ADDRESS: 2424 n fed hwy, ste 400, Boca Raton FL 33431 DESC: Registered representative and owner officer Business Name: COMMUNITY ELECTRIC POSITION: Owner NATURE: Electric INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2025 ADDRESS: 2595 nw 23 way, Boca Raton FL 33431, United States DESCRIPTION: Put up the money to purchase

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-05-13
S63 Uniform Securities Agent State Law Examination 1987-09-01
  • S65 Uniform Investment Adviser Law Examination
    1999-05-13
  • S63 Uniform Securities Agent State Law Examination
    1987-09-01
Other Names
  • Tom Holly

View on SEC IAPD

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