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 * Current: Investor Disclosures





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

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
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

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 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

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 Form ADV Part 2A

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 SEC Rule

View Public Statement

View Legal Information Institute

View Risk Alert

View Investor Alert



View Investor Bulletin
 
View Disclosure

 

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. 

Kestra Financial Company Information





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

Margin 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.

 * 2023 Q1 Quarterly Report (PDF)
 * 2023 Q1 Quarterly Report (XML)

Archive

 * 2022 Q4 Quarterly Report (PDF)
 * 2022 Q4 Quarterly Report (XML)
 * 2022 Q3 Quarterly Report (PDF)
 * 2022 Q3 Quarterly Report (XML)
 * 2022 Q2 Quarterly Report (PDF)
 * 2022 Q2 Quarterly Report (XML)
 * 2022 Q1 Quarterly Report (PDF)
 * 2022 Q1 Quarterly Report (XML)
 * 2021 Q4 Quarterly Report (PDF)
 * 2021 Q4 Quarterly Report (XML)
 * 2021 Q3 Quarterly Report (PDF)
 * 2021 Q3 Quarterly Report (XML)
 * 2021 Q2 Quarterly Report (PDF)
 * 2021 Q2 Quarterly Report (XML)
 * 2021 Q1 Quarterly Report (PDF)
 * 2021 Q1 Quarterly Report (XML)
 * 2020 Q4 Quarterly Report (PDF)
 * 2020 Q4 Quarterly Report (XML
 * 2020 Q3 Quarterly Report (PDF)
 * 2020 Q3 Quarterly Report (XML)
 * 2020 Q2 Quarterly Report (PDF)
 * 2020 Q2 Quarterly Report (XML)
 * 2020 Q1 Quarterly Report (PDF)
 * 2020 Q1 Quarterly Report (XML)

The website 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.



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©2023 KESTRA FINANCIAL, INC.

Kestra Financial, Inc. is the parent company of Kestra Private Wealth Services,
LLC (Kestra PWS), Kestra Advisory Services, LLC (Kestra AS) and Kestra
Investment Services, LLC (Kestra IS), member FINRA/SIPC. Securities offered
through registered representatives of Kestra IS. Investment advisory services
may be offered through appropriately licensed representatives of Kestra AS or
Kestra PWS. Except for the referenced Kestra companies, Kestra IS is not
affiliated with other entities referenced on this document. Kestra Financial,
Inc. is a subsidiary of Kestra Holdings.

 * Jobs at Kestra Financial
 * Investor Disclosures
 * Legal Notices
 * Privacy Policy
 * Terms of Service
 * FINRA BrokerCheck