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Kestra Financial Advisors Fined For Failure To Supervise Annuity Sales

Kestra Financial Advisors, a broker-dealer headquartered in Austin, Texas, was censured and fined $475,000.00 by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm failed to supervise its variable annuity sales. Letter of Acceptance, Waiver and Consent, No. 2014039418401 (Nov. 2, 2016). According to the AWC, the firm failed to supervise recommendations […]

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Kestra Financial Advisors Fined For Failure To Supervise Annuity Sales

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