JM
James T. Mcmanus
KESTRA ADVISORY SERVICES
LOUISVILLE, CO
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CRD#: 2420277
JM
Professional summary
James Thomas Mcmanus is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Louisville, Colorado and KESTRA INVESTMENT SERVICES, LLC located in Louisville, Colorado.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 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.
Business Name: McManus Wealth Bldg & Mgmt (Insurance) Investment Related: Yes Address: 482 W. Spruce Street Louisville CO 80027 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: Owner Start Date: 10/20/1993 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: I am an insurance agent with my own financial services company. I do not have any other Registered Reps that solicit business. I have one employee that assists me in the process of marketing, selling, underwriting, and maintaining life insurance policies for my clients. Business Name: McManus Wealth Bldg & Mgmt (Life Settlements) Investment Related: Yes Address: 482 W. Spruce Street Louisville CO 80027 Nature of Business: Insurance Position, Title or Relationship: Owner Start Date: 10/20/1993 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: solicit offers from life settlement brokers 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 Business Name: NOTARY PUBLIC POSITION: Notary Public NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/21/2023 ADDRESS: 482 W. Spruce Street, Louisville CO 80027 DESCRIPTION: The a rare instances where I will witness a client's signature. It is for convenience. No revenue is generated and there is no advertising or marketing.
CRS (Client Relationship Summary) - RIA
Click below to view James Thomas Mcmanus'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
June 9, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
LOUISVILLE, CO
Current
January 3, 2003 - Present
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
LOUISVILLE, CO
Past
January 16, 2003 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
BOULDER, CO
Past
September 29, 2000 - January 21, 2003
CETERA ADVISORS LLC
RIA
CRD#: 10299
BOULDER, CO
Past
August 30, 2000 - January 21, 2003
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
June 1, 1998 - August 31, 2000
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
January 5, 1994 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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
Arizona(1/3/2003)
RR
California(1/3/2003)
RR
Colorado(1/3/2003)
IAR
Colorado(6/9/2016)
RR
Kentucky(3/4/2021)
RR
New Mexico(2/21/2020)
RR
North Carolina(6/4/2024)
RR
Texas(4/1/2019)
IAR
Texas(7/27/2023)
RR
Wisconsin(6/18/2009)
RR
Wyoming(1/3/2003)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
