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Heather Kelly Dean

Kestra Investment Services, LLC

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About Heather Kelly Dean

Heather Dean has been in the financial services industry since February 6, 2000. Heather is currently registered with Kestra Investment Services, LLC in Austin, Texas. Previously, Heather was registered with SII Investments, Inc. and NFP Securities, Inc. Heather holds the Series 63, Series 7, and SIE licenses. Heather is registered in Texas.

Firm Information

Heather Dean is currently registered with Kestra Investment Services, LLC. Kestra Investment Services, LLC is a Limited Liability Company formed in September 2014 and is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 14 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

302

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Heather Dean’s Registration & Firm History

TX

01/03/2018 - Present

Kestra Investment Services, LLC (AUSTIN TX)

TX

01/05/2012 - 01/03/2018

SII INVESTMENTS, INC. (WEST LAKE HILLS TX)

TX

04/04/2007 - 01/30/2012

NFP SECURITIES, INC. (AUSTIN TX)

TX

02/07/2000 - 04/13/2007

SII INVESTMENTS, INC. (AUSTIN TX)

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Licenses & Designations

BC

Issued 06/19/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/27/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Heather Kelly Dean. Review regulatory record here.
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