James R. Audas

KESTRA ADVISORY SERVICES

Prior Lake, MN

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CRD#: 3250537

Professional summary

James Richard Audas, CFP®, who also goes by Jim R Audas, Jim Richard Audas, James R Audas, James Richard Audas, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Prior Lake, Minnesota and KESTRA INVESTMENT SERVICES, LLC located in Johnston, Iowa.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. James has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim R Audas | Jim Richard Audas | James R Audas | James Richard Audas

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Audas's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

July 2, 2025 - Present

KESTRA ADVISORY SERVICES, LLC

Office #2: 8008 Tiburon Place, Johnston, IA 50131

RIA

CRD#: 283330

Prior Lake, MN

Current

July 2, 2025 - Present

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

JOHNSTON, IA

Past

August 14, 2023 - July 21, 2025

HARBOR FUNDS DISTRIBUTORS, INC.

CRD#: 113506

CHICAGO, IL

Past

August 31, 2021 - July 7, 2023

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

August 31, 2021 - July 7, 2023

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

May 3, 2021 - August 10, 2021

DELAWARE DISTRIBUTORS, L.P.

CRD#: 14232

PHILADELPHIA, PA

Past

December 9, 2013 - April 21, 2021

WADDELL & REED

RIA

CRD#: 866

OVERLAND PARK, KS

Past

March 11, 2004 - April 21, 2021

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

March 11, 2004 - August 11, 2021

IVY DISTRIBUTORS, INC.

CRD#: 16496

OVERLAND PARK, KS

Past

March 28, 2001 - December 4, 2002

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

November 14, 2000 - March 9, 2001

FREEDOM FINANCIAL, INC.

CRD#: 45850

OMAHA, NE

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(7/2/2025)

Arkansas
(7/2/2025)

California
(7/2/2025)

Iowa
(7/2/2025)

IAR

Iowa
(7/2/2025)

Minnesota
(7/2/2025)

IAR

Minnesota
(7/2/2025)

Missouri
(7/2/2025)

Nebraska
(1/7/2026)

South Dakota
(7/2/2025)

Texas
(7/2/2025)

IAR

Texas
(7/2/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/20/2000

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: 11/13/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2001

General Securities Principal Examination

SRO Registrations

FINRA

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) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

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
12/01/2025	Cover Page	Report
12/23/2024	Cover Page	Report
10/20/2023	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 R. Audas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Audas's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

HARBOR FUNDS DISTRIBUTORS, INC.

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN SECURITIES, LLC

DELAWARE DISTRIBUTORS, L.P.

WADDELL & REED

WADDELL & REED

IVY DISTRIBUTORS, INC.

AMUNDI DISTRIBUTOR US, INC.

FREEDOM FINANCIAL, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/20/2000

SIE

Date: 10/1/2018

Series 7

Date: 11/13/2000

Series 24

Date: 1/2/2001

FINRA

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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