James B. Daughtry

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CRD#: 3272282

Professional summary

James Blake Daughtry was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, James had worked at 9 firms, which includes KESTRA ADVISORY SERVICES LLC, KESTRA INVESTMENT SERVICES LLC, SECURITIES AMERICA INC., AMERIPRISE FINANCIAL SERVICES LLC, INTL ADVISORY CONSULTANTS INC., STONEX SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, IFMG SECURITIES INC., SOUTHTRUST SECURITIES LLC.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

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 19, 2016 - March 18, 2020

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

DOTHAN, AL

Past

February 18, 2015 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

Dothan, AL

Past

February 18, 2015 - March 18, 2020

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Dothan, AL

Past

November 17, 2010 - October 20, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

October 15, 2010 - February 20, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

DOTHAN, AL

Past

October 15, 2010 - February 20, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

DOTHAN, AL

Past

November 3, 2008 - October 18, 2010

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

BIRMINGHAM, AL

Past

November 3, 2008 - October 18, 2010

STONEX SECURITIES INC.

CRD#: 18456

DOTHAN, AL

Past

September 29, 2005 - November 4, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DOTHAN, AL

Past

April 23, 2005 - November 4, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DOTHAN, AL

Past

September 8, 1999 - April 4, 2000

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

August 12, 1999 - April 23, 2005

SOUTHTRUST SECURITIES, LLC

CRD#: 17922

BIRMINGHAM, AL

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

IAR

Series 65

Date: 9/12/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/27/1999

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: 8/12/1999

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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Firm Stability Insights

James B. Daughtry

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

SECURITIES AMERICA, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

INTL ADVISORY CONSULTANTS INC.

STONEX SECURITIES INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

IFMG SECURITIES, INC.

SOUTHTRUST SECURITIES, LLC

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/2005

Series 63

Date: 8/27/1999

SIE

Date: 10/1/2018

Series 7

Date: 8/12/1999

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

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