JS
James D. Stehr
KESTRA ADVISORY SERVICES
Mount Pleasant, SC
Some features on this profile are disabled
CRD#: 2056403
JS
Professional summary
James Donald Stehr is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Mount Pleasant, South Carolina and KESTRA INVESTMENT SERVICES, LLC located in Pleasant Hill, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. James has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 55 and Series 7 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.
BN: NFP POSITION: Assistant Vice President NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 12/01/2017 ADDRESS: 2300 Contra Costa Boulevard, Suite #600, Pleasant Hill CA 94596, United States DESCRIPTION: Providing advisory services for existing clients while supporting other producers in the branch's Private Client Group. Will also look to market, develop and grow the branch's client base. BN: KESTRA ADVISORY SERVICES, LLC POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 132 START DATE: 12/20/2017 ADDRESS: 5707 Southwest Pkwy Bldg. 2 Ste. 400, Austin TX 78735, United States DESCRIPTION: Portfolio and investment advisory.
CRS (Client Relationship Summary) - RIA
Click below to view James Donald Stehr'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
January 9, 2018 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 2300 Contra Costa Blvd Suite 600, Pleasant Hill, CA 94596RIA
CRD#: 283330
Mount Pleasant, SC
Current
September 16, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2300 Contra Costa Blvd Suite 600, Pleasant Hill, CA 94596BD
CRD#: 42046
Pleasant Hill, CA
Past
April 28, 2016 - January 23, 2018
RBI CAPITAL MANAGEMENT, LLC
RIA
CRD#: 155230
LAFAYETTE, CA
Past
July 17, 2015 - December 19, 2017
PARAGON EAST ADVISORS
RIA
CRD#: 226749
ORINDA, CA
Past
July 8, 1997 - September 12, 2011
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SAN FRANCISCO, CA
Past
July 5, 1995 - September 12, 2011
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
May 22, 1990 - June 12, 1995
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
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
IAR
California(1/9/2018)
RR
California(9/30/2022)
RR
Colorado(1/9/2025)
RR
Delaware(11/12/2024)
RR
Hawaii(6/1/2023)
RR
Idaho(12/19/2023)
RR
Illinois(7/9/2025)
RR
New York(11/12/2025)
RR
South Carolina(10/8/2025)
IAR
South Carolina(10/9/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/16/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/11/2006
Limited Representative-Equity Trader ExamGeneral 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
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.
