JO
James M. Ollis
KESTRA ADVISORY SERVICES
Mobile, AL 36606
Some features on this profile are disabled
CRD#: 1127198
JO
Professional summary
James Mitchell Ollis III, who also goes by Mike Ollis, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Mobile, Alabama and KESTRA INVESTMENT SERVICES, LLC located in Mobile, Alabama.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. James has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Ollis
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.
Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway, Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Inverstment Advisor Representative Start Date: 7/27/2018 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: My duties and obligations are to recommend, monitor, and advise clients concerning the investment in any advisory program that may be suitable for the client based on my knowledge of the client's goals, risk tolerance, and personal financial situation.Business Name: Ollis Wealth Management Investment Related: Yes Address: 107 St Francis St Suite 3220 Mobile Alabama 36602 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: My title will be registered representative. Start Date: 7/27/2018 Hours per month: 71% - 80% (113 - 128 hours) Hours per month during trading hours: 61% - 70% (85 - 98 hours) Duties: My duties and obligations as an IAR will be to recommend only those advisory programs which are in the best interests of my clients as determined from a thorough analysis of their financial situation. TRU WEALTH MANAGEMENT POSITION: Financial Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/04/2019 ADDRESS: 107 St Francis St, Suite 3320, MOBILE AL 36602, United States DESCRIPTION: I manage and recommend investment through Kestra Investment Services and Kestra Advisory Services primarily for individual investors. Activities include the recommendation, sale and purchase of stocks, bonds, ETFs, variable annuities and other approved investment through Kestra IS and Kestra AS.
CRS (Client Relationship Summary) - RIA
Click below to view James Mitchell Ollis III's 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®
NoneExperience
Current
August 3, 2018 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 3280 Dauphin Street Bldg B, Suite122a, Mobile, AL 36606RIA
CRD#: 283330
Mobile, AL
Current
July 31, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 107 St Francis St., Suite 3320, Mobile, AL 36602BD
CRD#: 42046
Mobile, AL
Past
July 31, 2018 - August 1, 2018
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
AUSTIN, TX
Past
January 1, 2008 - August 2, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MOBILE, AL
Past
January 1, 2008 - August 2, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MOBILE, AL
Past
April 15, 1991 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
MOBILE, AL
Past
October 21, 1986 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
MOBILE, AL
Past
June 20, 1983 - October 23, 1986
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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".
KA
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.RR
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
RR
Alabama(8/3/2018)
IAR
Alabama(8/3/2018)
RR
Alaska(11/14/2023)
RR
Arkansas(6/14/2022)
RR
California(1/3/2023)
RR
Colorado(10/24/2019)
RR
Delaware(7/13/2023)
RR
Florida(10/25/2019)
RR
Georgia(7/31/2018)
RR
Illinois(10/25/2019)
RR
Kansas(10/24/2019)
RR
Kentucky(7/31/2018)
RR
Louisiana(7/31/2018)
RR
Maryland(7/31/2018)
RR
Michigan(10/25/2019)
RR
Mississippi(7/31/2018)
RR
Missouri(7/31/2018)
RR
Nevada(1/16/2024)
RR
New York(6/2/2020)
RR
North Carolina(8/6/2018)
RR
Oregon(12/14/2022)
RR
Pennsylvania(1/4/2023)
RR
South Carolina(10/25/2019)
RR
Tennessee(10/25/2021)
RR
Texas(10/24/2019)
IAR
Texas(10/10/2023)
RR
Virgin Islands(4/26/2022)
RR
Washington(6/2/2020)
RR
Wisconsin(7/31/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Mobile, AL 36606TRUST BUT VERIFY
Monitor James Ollis
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
