James S. Morrison

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CRD#: 1254375

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.

James Stafford Morrison, who also goes by Jim Morrison, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1984. James had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Morrison

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: J Morrison Family Properties Investment Related: Yes Address: 710 n 64th Waco TX 76710 Nature of Business: Real Estate Position, Title or Relationship: Member Start Date: 1/1/2010 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: my family limited partnership owns my office that I lease from.Business Name: jim Morrison financial, inc Investment Related: Yes Address: 710 n 64th po box 7652 waco TX 76714 Nature of Business: Insurance Position, Title or Relationship: Other,Moved to Other from Officer Start Date: 3/30/1981 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: provide insurance recomendationsBusiness Name: Greenway#3, LLc Investment Related: Yes Address: 5408 pointwood circle waco TX 76710 Nature of Business: Real Estate Position, Title or Relationship: passive investor Start Date: 4/16/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: noneBusiness 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

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

April 21, 2016 - April 4, 2025

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

WACO, TX

Past

October 6, 2003 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

WACO, TX

Past

October 6, 2003 - April 4, 2025

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

WACO, TX

Past

June 15, 1995 - October 10, 2003

WS GRIFFITH SECURITIES, INC.

RIA

CRD#: 10410

HARTFORD, CT

Past

May 25, 1995 - October 10, 2003

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

August 1, 1991 - August 22, 2000

OMEGA SECURITIES, INC.

CRD#: 7164

FORT WORTH, TX

Past

February 15, 1990 - September 9, 1991

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

March 20, 1989 - December 29, 1989

LEWIS & CLARK SECURITIES, INC.

CRD#: 22687

TAMPA, FL

Past

August 22, 1984 - March 29, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

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

Series 63

Date: 7/19/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

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

James S. Morrison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

WS GRIFFITH SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

OMEGA SECURITIES, INC.

VP DISTRIBUTORS LLC

LEWIS & CLARK SECURITIES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/19/1984

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1984

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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