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Investor Disclosures

Kestra Investment Services, LLC Disclosures

Client Relationship Summary

Kestra 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

Regulations Best Interest Disclosure
We provide this Regulation Best Interest Disclosure (the Reg BI Disclosure) to our retail customers to inform them about the services we offer and our relationship with them. Among other things, this Reg BI Disclosure addresses the scope and terms of our relationship with you, 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 Regulation Best Interest Disclosure

Other Important Disclosures

Kestra 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 Summary 
Kestra 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

Regulations Best Interest Disclosure
We provide this Regulation Best Interest Disclosure (the Reg BI Disclosure) to our retail customers to inform them about the services we offer and our relationship with them. Among other things, this Reg BI Disclosure addresses the scope and terms of our relationship with you, 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 Regulation Best Interest Disclosure

Form ADV Part 2A Brochure

This brochure provides information about the qualifications and business practices of our firm, Kestra Advisory Services, LLC. 

View Form ADV Part 2A

Kestra Private Wealth Services, LLC Disclosures

Client Relationship Summary
Kestra 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

Regulations Best Interest Disclosure

We provide this Regulation Best Interest Disclosure (the Reg BI Disclosure) to our retail customers to inform them about the services we offer and our relationship with them. Among other things, this Reg BI Disclosure addresses the scope and terms of our relationship with you, 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 Regulation Best Interest Disclosure

Form ADV Part 2A Brochure

This brochure provides information about the qualifications and business practices of our firm, Kestra Private Wealth Services, LLC. 

View Form ADV Part 2A

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. 

Kestra Financial Company Information
 
Regulations Best Interest Disclosure

We provide this Regulation Best Interest Disclosure (the Reg BI Disclosure) to our retail customers to inform them about the services we offer and our relationship with them. Among other things, this Reg BI Disclosure addresses the scope and terms of our relationship with you, 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 Regulation Best Interest Disclosure

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

Margin Information

This document provides some basic information about purchasing securities on margin, and to alert 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 11Ac1-6 requires broker-dealers to disclose, on a quarterly basis and on a public web site, 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.

Stocks and Options Order Routing Public Report

 

 

The web site links referenced are being provided strictly as a courtesy. Neither us, nor Kestra Financial, Inc. or its subsidiaries are liable for any direct or indirect technical or system issues or any consequences arising out of your access to or your use of the links provided.