James W. Duclos

KESTRA ADVISORY SERVICES

West Henrietta, NY

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CRD#: 1058384

Professional summary

James William Duclos is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in West Henrietta, New York and KESTRA INVESTMENT SERVICES, LLC located in Williamsville, New York.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. James has worked at 7 firms and has passed the Series 65, Series 66, Series 6TO, Series 22TO, SIE and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/31/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: CORNERSTONE CAPITAL WEALTH MANAGMENT POSITION: IAR NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/01/2025 ADDRESS: 5635 Harris Hill Road, Williamsville NY 14221, United States DESCRIPTION: Advisor to clients seeking financial advice.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James William Duclos's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 1, 2025 - Present

KESTRA ADVISORY SERVICES, LLC

Office #2: 5635 Harris Hill Rd, Williamsville, NY 14221

RIA

CRD#: 283330

West Henrietta, NY

Current

August 1, 2025 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 5635 Harris Hill Rd, Williamsville, NY 14221

CRD#: 42046

Williamsville, NY

Past

October 11, 2024 - August 4, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

Rochester, NY

Past

October 11, 2024 - August 4, 2025

OSAIC WEALTH, INC.

CRD#: 23131

Rochester, NY

Past

March 31, 2022 - October 11, 2024

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

January 12, 2018 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

Rochester, NY

Past

April 27, 1996 - January 16, 2018

SII INVESTMENTS, INC.

CRD#: 2225

ROCHESTER, NY

Past

September 30, 1982 - May 15, 1996

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/8/2025)

Colorado
(8/1/2025)

Connecticut
(8/4/2025)

Florida
(8/1/2025)

Massachusetts
(8/4/2025)

IAR

New York
(8/1/2025)

New York
(8/2/2025)

North Carolina
(8/4/2025)

South Carolina
(8/5/2025)

Utah
(8/1/2025)

Wisconsin
(8/6/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/30/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/13/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 2

Date: 6/4/1976

Non-Member General Securities Examination

SRO Registrations

FINRA

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

James W. Duclos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James William Duclos's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

SII INVESTMENTS, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2022

Series 66

Date: 12/13/1999

Series 6TO

Date: 1/2/2023

Series 22TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 2

Date: 6/4/1976

FINRA

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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