Diane B. Medley

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CRD#: 4016244

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Diane Bennett Medley was a registered financial professional .

Diane is a previously registered financial professional and started their career in finance in 1999. Diane had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Busi Nm: 906 Witherspoon LLC Invest Rel: Yes Address: 222 E Witherspoon St; Unit 906 Louisville KY 40202 Nat of Busi: Real Estate Title: Member Start Date: 10/4/2019 Hrs/mth: 0-16 Duties: Investment Busi Nm: Brinly Hardy Inc Invest Rel: No Address: 324 E Main Street Louisville KY 40202 Nat of Busi: Board Position Title: Board member Start Date: 1/1/2015 Hrs/mth: 0-16 Duties: Board member Busi Nm: Cayson LLC Invest Rel: Yes Address: 324 E Main Street Louisville KY 40202 Nat of Busi: Real Estate Title: managing member Start Date: 1/1/2013 Hrs/mth: 0-16 Duties: overall management Busi Nm: Real estate rental Invest Rel: No Address: 324 E Main Louisville KY 40202 Nat of Busi: Real Estate Title: manager Start Date: 1/1/2015 Hrs/mth: 0-16 Duties: overall oversight Busi Nm: Kentucky Chamber of Commerce Invest Rel: No Address: 464 Chenault Rd Frankfort KY 40601 Nat of Busi: Board Position Title: Board Member, Executive Committee Member at Large Start Date: 9/1/2017 Hrs/mth: 0-16 Duties: Board membership Busi Nm: Meritrust Consulting LLC Invest Rel: No Address: 462 S Fourth Street Louisville KY 40202 Nat of Busi: Consulting Title: None Start Date: 1/1/2010 Hrs/mth: 0-16 Duties: None Busi Nm: Meritrust LLC dba Meritrust Wealth Management Invest Rel: Yes Address: 462 S Fourth Street Louisville KY 40202 Nat of Busi: RR Activities through Kestra Investment Services, LLC using a DBA name; IA services through Kestra Advisory Services, LLC Title: Managing Partner Start Date: 1/1/2010 Hrs/mth: 0-16 Duties: General overall management Busi Nm: Meritrust Holdings LLC Invest Rel: No Address: 462 S Fourth Street Louisville KY 40202 Nat of Busi: Holding company Title: Managing Member Start Date: 1/1/2010 Hrs/mth: 0-16 Duties: overall management Busi Nm: MCM CPAs & Advisors LLC Invest Rel: No Address: 462 S Fourth Street Louisville KY 40202 Nat of Busi: Tax/Accounting/CPA Title: Managing Partner Start Date: 1/1/2010 Hrs/mth: 145-160 Duties: Overall management of firm Busi Nm: Kestra Advisory Services LLC Invest Rel: Yes Address: 5707 Southwest Parkway Austin TX 78735 Nat of Busi: IA services through Kestra Advisory Services, LLC Title: IAR Start Date: 3/1/2019 Hrs/mth: 0-16 Duties: Investment Advisory Representative Busi Nm: BOARD MEMBER - GERMAN AMERICAN BANK POSITION: Board member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 04/01/2022 ADDRESS: 711 Main Street, Jasper IN 47546 DESCRIPTION: Board member

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 1, 2023 - December 31, 2023

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Louisville, KY

Past

December 1, 2023 - December 31, 2023

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Louisville, KY

Past

May 16, 2019 - November 30, 2023

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Louisville, KY

Past

May 16, 2019 - November 30, 2023

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Louisville, KY

Past

May 1, 2014 - May 7, 2019

MWM ADVISORY

RIA

CRD#: 166411

LOUISVILLE, KY

Past

February 2, 2005 - November 17, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOUISVILLE, KY

Past

February 2, 2005 - November 26, 2018

LPL FINANCIAL LLC

CRD#: 6413

LOUISVILLE, KY

Past

December 2, 2003 - January 13, 2005

MONY SECURITIES CORPORATION

RIA

CRD#: 4386

LOUISVILLE, KY

Past

December 2, 2003 - January 13, 2005

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

October 24, 2002 - December 2, 2003

TRUSTED SECURITIES ADVISORS CORP.

RIA

CRD#: 24049

LOUISVILLE, KY

Past

October 14, 2002 - December 2, 2003

TRUSTED SECURITIES ADVISORS CORP.

CRD#: 24049

NEW YORK, NY

Past

February 13, 2002 - October 10, 2002

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

LOUISVILLE, KY

Past

October 6, 1999 - October 10, 2002

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/19/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/5/1999

General Securities Representative Examination

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Diane B. Medley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

MWM ADVISORY

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MONY SECURITIES CORPORATION

MONY SECURITIES CORPORATION

TRUSTED SECURITIES ADVISORS CORP.

TRUSTED SECURITIES ADVISORS CORP.

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/19/1999

SIE

Date: 10/1/2018

Series 7

Date: 10/5/1999

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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