James M. Ollis
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Mitchell Ollis III's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 3, 2018 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 3280 Dauphin Street Bldg B, Suite122a, Mobile, AL 36606July 31, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 107 St Francis St., Suite 3320, Mobile, AL 36602July 31, 2018 - August 1, 2018
KESTRA ADVISORY SERVICES, LLC
January 1, 2008 - August 2, 2018
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - August 2, 2018
WELLS FARGO CLEARING SERVICES, LLC
April 15, 1991 - January 1, 2008
A. G. EDWARDS & SONS, INC.
October 21, 1986 - January 3, 2008
A. G. EDWARDS & SONS, INC.
June 20, 1983 - October 23, 1986
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/3/2018)
(8/3/2018)
(11/14/2023)
(6/14/2022)
(1/3/2023)
(10/24/2019)
(7/13/2023)
(10/25/2019)
(7/31/2018)
(10/25/2019)
(10/24/2019)
(7/31/2018)
(7/31/2018)
(7/31/2018)
(10/25/2019)
(7/31/2018)
(7/31/2018)
(1/16/2024)
(6/2/2020)
(8/6/2018)
(12/14/2022)
(1/4/2023)
(10/25/2019)
(10/25/2021)
(10/24/2019)
(10/10/2023)
(4/26/2022)
(6/2/2020)
(7/31/2018)
Exams
FINRA
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
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 |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
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:
