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Investment Adviser Firm Summary
KESTRA PRIVATE WEALTH SERVICES, LLC ( CRD # 155193/SEC#:801-71936 )
1626 WEALTH MANAGEMENT, WOODS ASSET MANAGEMENT, WASHINGTON WEALTH MANAGEMENT, LLC, WASHINGTON WEALTH MANAGEMENT, VINTAGE WEST CAPITAL MANAGEMENT…
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved11/22/2010
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama1/10/2013
Alaska6/22/2021
Arizona11/11/2011
Arkansas6/22/2021
California11/11/2011
Colorado9/5/2012
Connecticut11/11/2011
Delaware6/22/2021
District of Columbia12/2/2010
Florida12/3/2010
Georgia3/31/2014
Hawaii8/14/2013
Idaho9/5/2012
Illinois3/22/2012
Indiana3/31/2014
Iowa8/14/2013
Kansas3/31/2014
Kentucky1/10/2013
Louisiana9/5/2012
Maine9/5/2012
Maryland12/2/2010
Massachusetts12/2/2010
Michigan9/5/2012
Minnesota9/5/2012
Mississippi6/22/2021
Missouri7/23/2014
Montana4/18/2012
Nebraska3/31/2014
Nevada11/11/2011
New Hampshire9/5/2012
New Jersey9/18/2012
New Mexico1/10/2013
New York12/2/2010
North Carolina9/5/2012
North Dakota6/22/2021
Ohio9/5/2012
Oklahoma3/12/2013
Oregon9/5/2012
Pennsylvania9/5/2012
Puerto Rico6/22/2021
Rhode Island5/23/2018
South Carolina6/22/2021
South Dakota6/22/2021
Tennessee9/5/2012
Texas9/5/2012
Utah9/5/2012
Vermont9/5/2012
Virgin Islands6/22/2021
Virginia11/22/2010
Washington11/11/2011
West Virginia3/31/2014
Wisconsin9/5/2012
Wyoming6/22/2021
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.