Investor Disclosures
Kestra Investment Services, LLC Disclosures
Client Relationship SummaryKestra Investment Services, LLC is a broker-dealer registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Broker-dealer and investment advisory services and fees differ and it is important for you to understand these differences.
View Client Relationship Summary
Important Disclosures Document
We provide this document to our retail customers to inform them about the services we offer and our relationship with them. Among other things, the document addresses the scope and terms of our relationship with you under Regulation Best Interest and DOL PTE 2020-02, including the capacity in which we are acting, the type and scope of our services, any material limitations on our services, the fees and costs associated with your holdings, accounts, and transactions, and the conflicts of interest that exist for us and our financial professionals.
View our Important Disclosures Document
Other Important Disclosures
Kstra Investment Services, LLC member FINRA/SIPC Kestra Investment Services, LLC is registered with the U.S. Securities Commission and the Municipal Securities Rulemaking Board. An investor brochure that describes the protections that may be provided by the MSRB rules and how to file a complaint with the appropriate regulatory authority is available at www.MSRB.org. Check the background of Kestra Investment Services, LLC on FINRA’s BrokerCheck.
Kestra Advisory Services, LLC Disclosures
Client Relationship SummaryKestra Advisory Services, LLC is an investment adviser registered with the Securities and Exchange Commission (SEC). Investment advisory services and fees differ from brokerage services provided through a broker-dealer and it is important for you to understand these differences.
View Client Relationship Summary
Important Disclosures Document
We provide this document to our retail customers to inform them about the services we offer and our relationship with them. Among other things, the document addresses the scope and terms of our relationship with you under Regulation Best Interest and DOL PTE 2020-02, including the capacity in which we are acting, the type and scope of our services, any material limitations on our services, the fees and costs associated with your holdings, accounts, and transactions, and the conflicts of interest that exist for us and our financial professionals.
View our Important Disclosures Document
Brochure and Appendix 1 Wrap Fee Program Brochure
This brochure provides information about the qualifications and business practices of our firm, Kestra Advisory Services, LLC.
View Form ADV Part 2A
View Appendix 1 Wrap Fee Program Brochure
Kestra Private Wealth Services, LLC Disclosures
Client Relationship SummaryKestra Private Wealth Services, LLC is an investment adviser registered with the Securities and Exchange Commission (SEC). Investment advisory services and fees differ from brokerage services provided through a broker-dealer and it is important for you to understand these differences. View Client Relationship Summary Important Disclosures Document
We provide this document to our retail customers to inform them about the services we offer and our relationship with them. Among other things, the document addresses the scope and terms of our relationship with you under Regulation Best Interest and DOL PTE 2020-02, including the capacity in which we are acting, the type and scope of our services, any material limitations on our services, the fees and costs associated with your holdings, accounts, and transactions, and the conflicts of interest that exist for us and our financial professionals. View our Important Disclosures Document
Brochure and Appendix 1 Wrap Fee Program Brochure
This brochure provides information about the qualifications and business practices of our firm, Kestra Private Wealth Services, LLC.
View Appendix 1 Wrap Fee Program Brochure
Performance Advertising
During the normal course of business with an investment adviser representative (“IAR”) from Kestra Advisory Services, LLC or Kestra Private Wealth Services, LLC, (“Kestra”) you may be presented with marketing materials that describe an investment’s performance, the performance of a proposed portfolio of securities or the performance of an investment adviser. Performance information can be presented in many different ways and past performance does not predict future results. Before making any investment decision, including selecting an investment adviser, you should understand how any performance representation is calculated and presented.
View Best Practices for Model/Hypothetical Performance
View Legal Information Institute
Outside RIAs
Client Relationship Summary
Beacon Retirement Planning Services, Inc., Goldstein Advisors, LLC, and ProVise Management Group, LLC are investment advisers registered with the Securities and Exchange Commission (SEC). Investment advisory services and fees differ from brokerage services provided through a broker-dealer and it is important for you to understand these differences.
View Beacon Retirement Planning Services Client Relationship Summary
View ProVise Management Group Client Relationship Summary
View Goldstein Advisors Client Relationship Summary
Kestra Financial, Inc. Company Information
Kestra Financial, Inc. is the parent company of Kestra Investment Services, LLC (Kestra IS) member FINRA/SIPC, Kestra Advisory Services, LLC (Kestra AS), Kestra Private Wealth Services, LLC (Kestra PWS), and Kestra Institutional Services, LLC.
Important Disclosures Document
We provide this document to our retail customers to inform them about the services we offer and our relationship with them. Among other things, the document addresses the scope and terms of our relationship with you under Regulation Best Interest and DOL PTE 2020-02, including the capacity in which we are acting, the type and scope of our services, any material limitations on our services, the fees and costs associated with your holdings, accounts, and transactions, and the conflicts of interest that exist for us and our financial professionals.
View our Important Disclosures Document
Privacy Policy and Disclosures
These privacy policies apply to clients who obtain or apply for a financial product or service or have done so in the past, with any of the Kestra Financial companies referenced above.
They do not apply to any outside business activity your financial professional may engage in separate from our companies.
View Privacy Policy & Disclosures
Clearing Firm Information
This document provides some basic information about purchasing securities on margin, and alerts you to the risks involved with trading securities in a margin account. Before trading securities in a margin account, you should carefully review the margin terms in your account application and agreement.
Clearing Firm's Margin Disclosure Document
Ordering Routing Information
SEC Rule 606 requires broker-dealers to disclose, on a quarterly basis and on a public website, the identity of the market centers to which they route a significant percentage of their orders. Kestra Financial has a relationship with clearing broker, National Financial Services, LLC (NFS). Please click on the link below to access this information.
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