JM
James M. Mills
KESTRA ADVISORY SERVICES
FREDERICKSBURG, TX
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CRD#: 2083686
JM
Professional summary
James Moyer Mills, who also goes by Jim Mills, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Fredericksburg, Texas and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.
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 7 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Mills
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: RUSTIC SPUR VINEYARDS POSITION: President of Rustic Spur LLC NATURE: Grow and sell wine grapes and make and market finished wine under the Rustic Spur label INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 4 START DATE: 04/10/2013 ADDRESS: 1653 Gellermann Lane, Fredericksburg TX 78624, United States DESCRIPTION: Travel to wine festivals on weekends to pour and sell our wine to customers around the state. We are about to have a website operational for Rustic Spur Vineyards for direct sales to wine customers. Business Name: VINEYARD VIEW BNB POSITION: My wife and I own the property that the tiny home is located on. NATURE: Air BnB on our property INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2019 ADDRESS: 1653 Gellermann Lane, Fredericksburg TX 78624, United States DESCRIPTION: Typical duties are to maintain the yard around the property, on occasion help my wife clean property after guests leave, make repairs to property when needed.
CRS (Client Relationship Summary) - RIA
Click below to view James Moyer Mills'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
March 7, 2024 - Present
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
FREDERICKSBURG, TX
Current
March 7, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735BD
CRD#: 42046
Austin, TX
Past
December 15, 2020 - October 27, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Fredericksburg, TX
Past
December 15, 2020 - October 27, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Fredericksburg, TX
Past
December 12, 2014 - December 22, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
San Antonio, TX
Past
December 12, 2014 - December 22, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
San Antonio, TX
Past
September 30, 2013 - December 24, 2014
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
KERRVILLE, TX
Past
September 30, 2013 - December 24, 2014
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
KERRVILLE, TX
Past
January 19, 2007 - October 1, 2013
EDWARD JONES
RIA
CRD#: 250
BASTROP, TX
Past
August 16, 1990 - October 1, 2013
EDWARD JONES
BD
CRD#: 250
BASTROP, TX
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(3/7/2024)
RR
Alaska(3/7/2024)
RR
Arizona(3/7/2024)
RR
Arkansas(3/7/2024)
RR
California(3/7/2024)
RR
Colorado(3/7/2024)
RR
Connecticut(3/7/2024)
RR
Delaware(3/7/2024)
RR
District of Columbia(3/7/2024)
RR
Florida(3/7/2024)
RR
Georgia(3/7/2024)
RR
Hawaii(3/7/2024)
RR
Idaho(3/7/2024)
RR
Illinois(3/7/2024)
RR
Indiana(3/7/2024)
RR
Iowa(3/7/2024)
RR
Kansas(3/7/2024)
RR
Kentucky(3/7/2024)
RR
Louisiana(3/7/2024)
RR
Maine(3/7/2024)
RR
Maryland(3/7/2024)
RR
Massachusetts(3/7/2024)
RR
Michigan(3/7/2024)
RR
Minnesota(3/7/2024)
RR
Mississippi(3/7/2024)
RR
Missouri(3/7/2024)
RR
Montana(3/7/2024)
RR
Nebraska(3/7/2024)
RR
Nevada(3/7/2024)
RR
New Hampshire(3/7/2024)
RR
New Jersey(3/7/2024)
RR
New Mexico(3/7/2024)
RR
New York(3/7/2024)
RR
North Carolina(3/8/2024)
RR
North Dakota(3/7/2024)
RR
Ohio(3/8/2024)
RR
Oklahoma(3/7/2024)
RR
Oregon(3/7/2024)
RR
Pennsylvania(3/7/2024)
RR
Puerto Rico(3/7/2024)
RR
Rhode Island(3/7/2024)
RR
South Carolina(3/7/2024)
RR
South Dakota(3/7/2024)
RR
Tennessee(3/7/2024)
RR
Texas(3/7/2024)
IAR
Texas(3/7/2024)
RR
Utah(3/7/2024)
RR
Vermont(3/7/2024)
RR
Virgin Islands(3/7/2024)
RR
Virginia(3/7/2024)
RR
Washington(3/7/2024)
RR
West Virginia(3/7/2024)
RR
Wisconsin(3/7/2024)
RR
Wyoming(3/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 5/30/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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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.
