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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2016-04-19 |
Branch Locations
620 Hinesburg Rd Suite 200, South Burlington, VT 05403 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dean Witter Reynolds Inc. | Burlington | VT | 07/1997 | Present |
| Kestra Advisory Services, Llc | South Burlington | VT | 04/2016 | Present |
| Kestra Investment Services, Llc | South Burlington | VT | 04/2003 | Present |
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 services Business Name: NFP Corporate Services (NY), LLC Investment Related: Yes Address: 620 Hinesburg Road South Burlington VT 05403 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: CFP Start Date: 4/1/2003 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: All Financial Planning and Investment Advisory duties
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1997-09-23 |
| S65 | Uniform Investment Adviser Law Examination | 1997-09-23 |
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