KESTRA ADVISORY SERVICES, LLC of AUSTIN, TX is an SEC-registered investment adviser (CRD 283330). Regulatory assets under management: $79.8B. 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 31 people.
| Name | Role | Location |
|---|---|---|
| Robert Bredt Norwood | EVP, GENERAL COUNSEL | — |
| Jean-Luc Dupont | HEAD OF CYBERSECURITY AND TECHNOLOGY RISK; VP, CHIEF INFORMATION SECURITY OFFICER | — |
| Vinay Kant | EVP, CHIEF DIGITAL TECHNOLOGY OFFICER | — |
| Scott Matthew Zegers | CHIEF FINANCIAL OFFICER | — |
| Yin Yin | CONTROLLER | — |
| Michael Ross Pedlow | EVP, CHIEF COMPLIANCE OFFICER | — |
| Kristen Lawless Chester | CHIEF OPERATING OFFICER; EVP, CHIEF OPERATING OFFICER | — |
| John Vincent Amore | EVP, WEALTH MANAGEMENT; PRESIDENT | — |
| Mark Paul Schoenbeck | EVP, ADVISOR ENGAGEMENT; EVP, NATIONAL SALES DIRECTOR | — |
| Joel Van Bennett | SVP, CHIEF FINANCIAL OFFICER | — |
| Jeremy Scott Carr | EVP, GENERAL COUNSEL | — |
| Stephen Russell Langlois | PRESIDENT | — |
| BENNETT JOEL VAN | SVP, CHIEF FINANCIAL OFFICER | — |
| POER JAMES LYNN | PRESIDENT | — |
| NORWOOD ROBERT BREDT | EVP, GENERAL COUNSEL | — |
| GROSVENOR MARK D | SVP, TECHNOLOGY | — |
| BEACH KENNETH MICHAEL | VP, CHIEF INFORMATION SECURITY OFFICER | — |
| SCHOENBECK MARK PAUL | EVP, NATIONAL SALES DIRECTOR | — |
| VANDERHEYDEN JOHN PATRICK | EVP, CHIEF OPERATING OFFICER; EVP, STRATEGIC INITIATIVES | — |
| PEDLOW MICHAEL ROSS | EVP, CHIEF COMPLIANCE OFFICER; SVP, CHIEF COMPLIANCE OFFICER | — |
| LECLAIR KRISTEN SANDERS | SVP, ADVIOSRY AND INVESTMENT SERVICES; SVP, ADVISORY AND INVESTMENT SERVICES | — |
| WITT KEVIN LEE | SVP, CHIEF TECHNOLOGY OFFICER; SVP, CHIEF TECHNOLOGY OFFICER/CHIEF INFORMATION SECURITY OFFICER | — |
| CHESTER KRISTEN LAWLESS | CHIEF OPERATING OFFICER | — |
| BOUTHILLIER JEFF | VP, CHIEF TECHNOLOGY OFFICER | — |
| HARNESS NICHOLAS WALTER | CHIEF INFORMATION OFFICER; EVP, CHIEF INFORMATION AND INFORMATION SECURITY OFFICE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-06-05 | regulatory | JONATHAN ALLEN SHIMER (CRD#2938700) OPERATED AS AN INVESTMENT ADVISER REPRESENTATIVE IN THE STATE OF NORTH CAROLINA ("NC") WITHOUT PROPER REGISTRATION. KESTRA ADVISORY SERVICES, LLC ("KAS") FAILED TO TRANSFER HIS DISTRICT OF COLUMBIA INVESTMENT ADVISER REGISTRATION AFTER MOVING TO NC. | Final | $3K |
| 2021-07-09 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST 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 | $60K |
| 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 |
| 2018-06-12 | regulatory | THE RECOMMENDATION OF MUTUAL FUND SHARE CLASSES GENERATING COMPENSATION TO KESTRA AS'S AFFILIATED BROKER-DEALER WITHOUT ADEQUATE DISCLOSURE OF SUCH COMPENSATION AND THE ADDITIONAL EXPENSES ASSOCIATED WITH THE SHARE CLASSES. | Final | — |
| 2016-07-22 | regulatory | COMMONWEALTH OF MASSACHUSETTS ALLEGED FAILURE TO REGISTER INVESTMENT ADVISER REPRESENTATIVES WHO HAD A PLACE OF BUSINESS IN MASSACHUSETTS AND ENSURE INVESTMENT ADVISER REPRESENTATIVES WERE PROPERLY REGISTERED WITH THE COMMONWEALTH. | Final | $100K |
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