JC
James J. Cronin
KESTRA ADVISORY SERVICES
WAUKESHA, WI 53186
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CRD#: 1200968
JC
Professional summary
James John Cronin, CFA, who also goes by James J Cronin, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Waukesha, Wisconsin and KESTRA INVESTMENT SERVICES, LLC located in Waukesha, Wisconsin.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. James has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James J Cronin
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: Integrity Wealth Management Investment Related: Yes Address: 20975 Swenson Drive Suite 125 Waukesha WI 53186 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: Chief Investment Officer Start Date: 12/1/2015 Hours per month: 81% - 90% (129 - 144 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: Establishing and monitoring overall investment policy. Managing investment lists and client portfolios. 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: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services
CRS (Client Relationship Summary) - RIA
Click below to view James John Cronin'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®
Experience
Current
April 26, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 20975 Swenson Drive Ste #225, Waukesha, WI 53186RIA
CRD#: 283330
WAUKESHA, WI
Current
December 2, 2015 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 20975 Swenson Drive #225, Waukesha, WI 53186BD
CRD#: 42046
Waukesha, WI
Past
December 2, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
August 7, 2009 - December 10, 2015
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
JACKSON, NJ
Past
March 23, 2009 - December 10, 2015
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
JACKSON, NJ
Past
July 15, 1997 - March 17, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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".
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
Colorado(12/2/2015)
RR
Connecticut(12/2/2015)
RR
Florida(12/2/2015)
RR
New Jersey(12/2/2015)
IAR
New Jersey(4/26/2016)
RR
New York(12/2/2015)
RR
North Carolina(10/13/2021)
RR
Pennsylvania(12/2/2015)
RR
Virginia(12/2/2015)
RR
Wisconsin(12/2/2015)
IAR
Wisconsin(4/28/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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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)
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#: 283330Waukesha, WI 53186TRUST BUT VERIFY
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