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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
CA RA APPROVED 2025-06-19
TX RA APPROVED_RES 2025-06-19
  • CA RA
    APPROVED
    Since 2025-06-19
  • TX RA
    APPROVED_RES
    Since 2025-06-19

Branch Locations

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

Carlsbad, CA • United States

531Encinitas Blvd Suite 200, Encinitas, CA 92024 • 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
Independent Financial Group, Llc Encinitas CA 03/2005 06/2025
Independent Financial Group, Inc Encinitas CA 03/2005 06/2025
Kestra Investment Services, Llc Encinitas CA 06/2025 Present
Kestra Advisory Services, Llc Encinitas CA 06/2025 Present
Previous Registrations
  • 2005-10-21 → 2025-06-20
    Encinitas, CA
    Encinitas, CA
  • 2005-03-18 → 2005-10-21
    Independent Financial Group, Llc
    Encinitas, CA
  • 2004-03-02 → 2005-04-14
    Sentra Securities Corporation
    Encinitas, CA
  • 2003-05-26 → 2003-11-07
    La Jolla, CA
Other Businesses

Name: SOLOMON WEALTH MANAGMENT POSITION: Owner NATURE: Tax/Accounting/CPA INVESTMENT RELATED: No # OF HOURS: 50 SECURITIES TRADING HOURS: 160 START DATE: 01/03/2005 ADDRESS: 531 encinitas blve, ste 200, Encinitas CA 92024, United States DESCRIPTION: Owner and manageing partner for the firm. Name: TAX PREP BUSINESS THROUGH MY CORPORATION POSITION: Managing owner NATURE: Tax/Accounting/CPA INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/01/2024 ADDRESS: 531 encinitas blve, ste 200, Encinitas CA 92024, United States DESCRIPTION: I pay for all expenses and share in revenue. I do none of the tax work myself. Name: BOYS AND GIRLS CLUB OF NORTHWEST SAN DIEGO POSITION: Board member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No # OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2018 ADDRESS: 533 Lomas Santa Fe, Solana Beach CA 92075, United States DESCRIPTION: I'm on multiple committees and attend board meetings.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-05-23
S63 Uniform Securities Agent State Law Examination 1994-01-24
  • S65 Uniform Investment Adviser Law Examination
    2003-05-23
  • S63 Uniform Securities Agent State Law Examination
    1994-01-24

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