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Advisor at KESTRA ADVISORY SERVICES, LLC
Louisville, KY | AUSTIN, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| KESTRA ADVISORY SERVICES, LLC | Bd affiliated wealth | Nov 16, 2018 | n/a | yes | AUSTIN, TX|Louisville, KY | Current employment |
| MWM ADVISORY | Former SEC adviser | May 1, 2014 | May 7, 2019 | no | LOUISVILLE, KY | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Feb 1, 2005 | Sep 7, 2016 | no | LOUISVILLE, KY|LOUISVILLE, KY|LOUISVILLE, KY | Previous registration |
| MONY SECURITIES CORPORATION | n/a | Dec 2, 2003 | Jan 13, 2005 | no | LOUISVILLE, KY | Previous registration |
| TRUSTED SECURITIES ADVISORS CORP. | n/a | Mar 12, 2003 | Dec 2, 2003 | no | LOUISVILLE, KY | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | May 31, 2001 | Mar 6, 2003 | no | LOUISVILLE, KY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MWM ADVISORY | KESTRA ADVISORY SERVICES, LLC | May 7, 2019 | Nov 16, 2018 | -172 | Firm change after gap | RIA to ibd |
| LPL FINANCIAL LLC | MWM ADVISORY | Sep 7, 2016 | May 1, 2014 | -860 | Firm change after gap | Other |
| MONY SECURITIES CORPORATION | LPL FINANCIAL LLC | Jan 13, 2005 | Feb 1, 2005 | 19 | Firm change | Other |
| TRUSTED SECURITIES ADVISORS CORP. | MONY SECURITIES CORPORATION | Dec 2, 2003 | Dec 2, 2003 | 0 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | TRUSTED SECURITIES ADVISORS CORP. | Mar 6, 2003 | Mar 12, 2003 | 6 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 166411:283330:KY:2019-05-07 | May 7, 2019 | Nov 16, 2018 | LOUISVILLE, KY | Firm change after gap |
| 6413:166411:KY:2016-09-07 | Sep 7, 2016 | May 1, 2014 | LOUISVILLE, KY | Firm change after gap |