President and Chief Executive OfficerRead Full Bio
As president and chief executive officer of Kestra Financial, James is dedicated to helping independent financial advisors fulfill client goals through a unique integration of technology and service. Kestra Financial serves independent financial advisory firms with varying business affiliations, including independent registered investment advisors (RIAs) and hybrid advisors.
James joined Kestra Financial (previously NFP Advisor Services) in 2003 and has served as president since September 2008. Under his leadership, the business has experienced unparalleled growth, doubling its advisory assets under management to over $21 billion, increasing annual gross revenue by over $177 million, and acquiring nine firms. Through his support of the open architecture platform, James continues to position Kestra Financial as a leader in the independent financial services space with $75.3 billion in assets under advisement among 1,700 affiliated financial advisors. In addition, Kestra Financial has a 90 percent retention rate since 2007, with financial advisors choosing to remain affiliated with Kestra Financial year after year. Prior to joining Kestra Financial, he held marketing and product development roles for two asset management companies and served as director of Advisory Services for two AIG RIAs.
James currently serves on the board of directors for the Financial Services Institute and on advisory boards of the Financial Planning Association and the Investment Management Consultants Association.
James received his Bachelor of Science from Texas Christian University and completed the Securities Industry Institute at the University of Pennsylvania’s Wharton Business School. He is a licensed registered representative holding FINRA Series 7, 24, 63, and 65 licenses.
Executive Vice President, Wealth ManagementRead Full Bio
As the Head of Wealth Management at Kestra Financial, John leverages his global leadership experience to ensure every aspect of the wealth management offering drives growth and innovation, enabling advisors to accomplish their business objectives. He aspires to see all our independent advisors exceed client expectations by taking full advantage of the freedom and flexibility available through their partnership with Kestra Financial. Specifically, John is responsible for overseeing the firm’s robust platforms focused on wealth management, portfolio construction, investment products, advisory services, financial planning, and retirement plans. His diversified background allows him to contribute valuable insights as he calibrates all efforts towards empowering advisors to better serve their clients.
John has had the privilege of leading successful wealth management teams for more than 14 years. Prior to joining Kestra Financial, he served as the Head of Wealth Planning for the Americas and the Head of Investment Platforms at UBS for Latin America. He was proud to lead a global team of over 110 people across financial planning, portfolio construction, estate planning, wealth planning, investment products, and trust solutions.
Beginning his career in management consulting in the financial services sector paired with his graduate studies at Columbia University, John has gained the operational acumen, business analytical skills, and project management capabilities needed every day to convert strategic initiatives into business realities.
Senior Managing Director and Chief Executive Officer Kestra Private Wealth ServicesRead Full Bio
As the chief executive officer of Kestra Private Wealth Services, Rob is dedicated to providing experienced advisors with the services and support they need to start their own successful, independent businesses.
He began his career in financial services as a private banker and acted in that capacity for three firms, Donaldson, Lufkin & Jenrette, its successor Credit Suisse First Boston, and Merrill Lynch, establishing private banking offices for Credit Suisse and Merrill Lynch in the Washington, D.C. market. In 2008, he joined Morgan Stanley in an executive role to lead business development in California, Hawaii, and Nevada. In 2011, he left Morgan Stanley to help establish Washington Wealth Management, which rebranded as Kestra Private Wealth Services in 2016. Rob is a regular contributor to CNBC, Fox Business, and Bloomberg, as well as numerous industry publications.
A U.S. Army veteran, Rob graduated from Mary Washington College, magna cum laude. He holds a Juris Doctor from George Mason University School of Law.
Chief Financial OfficerRead Full Bio
As the chief financial officer for Kestra Financial, Joel is responsible for managing the company’s financial performance and risk. He is also responsible for the internal and external reporting, budgeting, accounting, financial analysis, producer compensation, and treasury operations.
With more than 35 years of leadership experience in the financial services field, he has consistently delivered improved productivity and higher profit margins. Prior to joining Kestra Financial in September 2016, Joel worked with HD Vest Financial Services for 26 years, serving in a number of positions, including chief financial officer.
Joel received a Bachelor of Business Administration in accounting from the University of Texas at Dallas. He holds the FINRA Series 7, 27, 65, and 24 licenses, and he is a certified public accountant (CPA), certified management accountant (CMA), and certified cash manager (CCM).
Chief Operating OfficerRead Full Bio
As chief operating officer, Kris is responsible for ensuring that Kestra Financial offers advisors the latest technology and highest-quality service while overseeing the continued simplification and streamlining of business processing. In this role, she leads the Client Service, Onboarding, Operations, Program Management, Sales Supervision, and Technology departments.
A strategic, innovative leader, Kris has extensive experience in merger integration, business transformation, product development, and client delivery. Prior to joining Kestra Financial in January 2018, Kris worked for Wells Fargo Bank for 18 years, most recently serving as executive vice president, head of Treasury Management Implementation & Delivery. In that capacity, she led a team of more than 750 people that implemented and integrated the bank’s Treasury Management solutions, among other responsibilities.
Kris received a Bachelor of Arts in business administration – finance from Texas A&M University. A Certified Treasury Professional, she also graduated with honors from the University of Wisconsin’s BAI Graduate School of Banking.
Executive Vice President and Chief Human Resources OfficerRead Full Bio
As executive vice president and chief human resources officer, Mary has led the creation of the Human Resources department and the development of the company’s policies, procedures, and benefits. In this role, she also directs Kestra Financial’s efforts to attract and cultivate highly qualified employees.
Before joining Kestra Financial in September 2016, Mary was president of her own HR consulting service and helped guide Kestra Financial’s transition from NFP. Mary has more than 20 years of leadership experience in the field of human resources.
Mary received a Bachelor of Arts in business from Texas A&M University. She is a member of the Society for Human Resource Management (SHRM) and is an SHRM Senior Certified Professional (SHRM-SCP). Her credentials also include certification as a Senior Professional in Human Resources (SPHR) from the HR Certification Institute.
Bredt Norwood, J.D.
Executive Vice President and General CounselRead Full Bio
Bredt Norwood, J.D.
Bredt serves as executive vice president and General Counsel of Kestra Financial and manages an experienced team of attorneys dedicated to supporting the legal and compliance needs of the company and member advisors. He and his team work to maximize the independent advisor’s ability to serve clients, while striving to minimize legal and compliance risks to clients, advisors and the company. Bredt is also responsible for litigation management and helps advisors navigate the complexities of the dispute resolution process. His team manages the errors and omissions program, which offers broad coverage and limits designed to support the unique needs of entrepreneurial advisors.
Prior to this role, Bredt held senior legal positions with NFP Corp., Wells Fargo, and HD Vest Financial Services. Bredt holds a Bachelor of Arts in government from The University of Texas and a J.D. from Southern Methodist University.
Executive Vice President and Chief Compliance OfficerRead Full Bio
As chief compliance officer for Kestra Financial and Kestra Private Wealth Services, Mike directs all aspects of Compliance to ensure alignment with regulatory policy, while helping independent financial advisors meet the expectations of regulators as they conduct their day-to-day business. Working to balance the risk and reward challenges within the tightly regulated financial sector, Mike and his team actively seek to influence policy, rules, and laws that may impact advisors and their practice. Under his leadership, advisors experience a uniquely proactive, collaborative, and supportive team of consultants, including Advertising Compliance, Retirement Plan Compliance, and Firm Policy. He attributes this fresh, highly engaged approach to his years of working as an independent financial advisor.
Previously, he held senior compliance positions as vice president of Investment Advisory Compliance at NFP, and as RIA compliance officer at Raymond James Financial Services.
Mike holds a Bachelor of Arts in economics from the University of South Florida and multiple industry licenses, including the FINRA Series 7, 24, and 66.
Mark Schoenbeck, CFP®
Executive Vice President, Advisor EngagementRead Full Bio
Mark Schoenbeck, CFP®
In his role, Mark is responsible for leading a team that partners with Kestra Financial’s advisors to help them face challenges and find opportunities in their businesses by providing guidance in six critical areas: strategy, people & performance, operational efficiency, growth & marketing, wealth management, and financial management. In this role, he inspires his team to develop creative strategies that enable financial advisors to meet their goals and ultimately increase their enterprise value, and he provides the vision and direction that ensures the Business Consulting team meets its strategic initiatives.
For more than 15 years, Mark has been committed to helping advisors build quality, sustainable businesses. He has worked with top independent financial advisors to help them maximize their revenue, free time, and business value. He has extensive experience as a financial advisor, product marketer, chief marketing officer, and practice management consultant. Mark believes that real change happens when you combine emotionally charged goals with accountability and practical execution.
Previously, Mark held senior executive roles at Mutual Service Corporation, AssetMark, and Curian Capital. Mark received a Bachelor of Science in business administration and entrepreneurship from California Lutheran University. He holds FINRA Series 7, 24, 63, and 65 licenses, and he is a Certified Financial Planner™ professional.
Executive Vice President, Business DevelopmentRead Full Bio
Daniel serves as executive vice president of Business Development, using his firsthand experience as a former financial advisor to relate to prospective recruits, to listen to their day-to-day challenges, and to unlock their critical expectations for a successful broker-dealer and RIA relationship.
Calling upon his 20 years in the industry, he actively identifies, selects, and recruits independent advisory firms to Kestra Financial, looking for those ideal prospects who are seeking a consultative, accessible, world-class partner to help them (and their back office staff) take the next leap forward. Additionally, Daniel supports member firms who are hiring other independent financial advisors to grow the practice. Previously, Daniel served as vice president of Business Development, LPL Financial.
He received a Bachelor of Science in business administration and management from Wesley College. He holds FINRA Series 7, 63, and 65 licenses.