KESTRA PRIVATE WEALTH SERVICES, LLC of AUSTIN, TX is an SEC-registered investment adviser (CRD 155193). Regulatory assets under management: $13.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 41 people.
| Name | Role | Location |
|---|---|---|
| Robert Bredt Norwood | EVP, SECRETARY; VICE PRESIDENT, SECRETARY | — |
| Jean-Luc Dupont | CHIEF INFORMATION AND SECURITY OFFICE; HEAD OF CYBERSECURITY AND TECHNOLOGY RISK | — |
| Vinay Kant | EVP, CHIEF DIGITAL TECHNOLOGY OFFICER | — |
| Scott Matthew Zegers | CHIEF FINANCIAL OFFICER | — |
| Yin Yin | ASSISTANT SECRETARY | — |
| Michael Ross Pedlow | EVP, CHIEF COMPLIANCE OFFICER | — |
| Kristen Lawless Chester | EVP, CHIEF OPERATING OFFICER; VICE PRESIDENT | — |
| John Vincent Amore | PRESIDENT | — |
| Robert Mason Bartenstein | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, PRESIDENT | — |
| Mark Paul Schoenbeck | EVP, ADVISOR ENGAGEMENT; EVP, NATIONAL SALES DIRECTOR; VICE PRESIDENT | — |
| Jeremy Scott Carr | EVP, GENERAL COUNSEL | — |
| Stephen Russell Langlois | PRESIDENT | — |
| BENNETT JOEL VAN | SVP, CHIEF FINANCIAL OFFICER | — |
| POER JAMES LYNN | VICE PRESIDENT | — |
| NORWOOD ROBERT BREDT | VICE PRESIDENT, SECRETARY | — |
| BEACH KENNETH MICHAEL | VP, CHIEF INFORMATION SECURITY OFFICER | — |
| SCHNEIDER BRETT RONALD | DIRECTOR | — |
| LIESER LORI MICHELL | VICE PRESIDENT | — |
| SCHOENBECK MARK PAUL | EVP, NATIONAL SALES DIRECTOR; VICE PRESIDENT | — |
| VANDERHEYDEN JOHN PATRICK | VICE PRESIDENT | — |
| PEDLOW MICHAEL ROSS | CHIEF COMPLIANCE OFFICER; EVP, CHIEF COMPLIANCE OFFICER | — |
| SIRIANNI ANTHONY NMN | CHIEF COMPLIANCE OFFICER/MANAGING MEMBER; MANAGING MEMBER; MEMBER | — |
| NETTERE ERIC BART | MEMBER; PRINCIPAL | — |
| WILKINSON ROSS GERARD | EXECUTIVE OFFICE, DIRECTOR OF BUSINESS DEVELOPMENT; MEMBER | — |
| SIRIANNI ANTHONY | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-07-09 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLICINTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE,INSTITUTED PURSUANT TO SECTIONS 203(E) AND 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940("ADVISERS ACT") AGAINST KESTRA… | Final | $1.5M |
| 2021-07-09 | regulatory | THE COMMISSION FINDS THAT KESTRA PWS, A REGISTERED INVESTMENT ADVISER, BREACHED ITS FIDUCIARY DUTY TO ADVISORY CLIENTS BY FAILING TO PROVIDE FULL AND FAIR DISCLOSURE REGARDING TWO TYPES OF COMPENSATION PAID TO ITS PREDECESSOR FIRM AND AFFILIATED BROKER. FIRST, SINCE AT LEAST JANUARY 2014, THE AFFILI… | Final | $60K |
| 2018-06-12 | regulatory | THE RECOMMENDATION OF MUTUAL FUND SHARE CLASSES GENERATING COMPENSATION TO KESTRA PWS'S AFFILIATED BROKER-DEALER WITHOUT ADEQUATE DISCLOSURE OF SUCH COMPENSATION AND THE ADDITIONAL EXPENSES ASSOCIATED WITH THE SHARE CLASSES. | Final | — |
| 2016-07-18 | regulatory | ON JULY 11, 2016, KESTRA PWS AGREED TO PAY THE U.S. SECURITIES AND EXCHANGE COMMISSION AN ADMINISTRATIVE FINE OF $50,000 FOR FAILING TO DISCLOSE IN A TIMELY FASHION AN ALLEGED CONFLICT OF INTEREST ARISING FROM THE FIRM'S RECEIPT OF LOANS FROM A THIRD PARTY KESTRA PWS HAD ENGAGED TO PROVIDE BROKERAGE… | Final | $50K |
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| — | regulatory | — | — | — |