AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
James Joseph Mahoney III

James J. Mahoney

KESTRA ADVISORY SERVICES
NORTHAMPTON, MA 01060
Some features on this profile are disabled
CRD#: 4460504
James Joseph Mahoney III

Professional summary

James Joseph Mahoney III, CFP®, who also goes by James Joseph Mahoney, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Northampton, Massachusetts and KESTRA INVESTMENT SERVICES, LLC located in Northampton, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James Joseph Mahoney

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 Joseph Mahoney III'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

Start date: 2013

Experience

Current

April 29, 2016 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 243 King St., Suite 240, Northampton, MA 01060
RIA
CRD#: 283330
NORTHAMPTON, MA
Current

September 12, 2014 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 243 King Street Ste 240, Northampton, MA 01060
BD
CRD#: 42046
Northampton, MA
Past

January 10, 2015 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
NORTHAMPTON, MA
Past

September 16, 2010 - September 19, 2014

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
NORT HAMPTON, MA
Past

September 15, 2010 - September 19, 2014

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
NORTHAMPTON, MA
Past

January 13, 2010 - September 27, 2010

LPL FINANCIAL LLC

RIA
CRD#: 6413
FARMINGTON, CT
Past

January 12, 2010 - September 27, 2010

LPL FINANCIAL LLC

BD
CRD#: 6413
FARMINGTON, CT
Past

November 20, 2009 - December 22, 2009

BRADWAY FINANCIAL, LLC

RIA
CRD#: 117480
LONGMEADOW, MA
Past

October 8, 2001 - September 18, 2009

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT

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
California
(4/30/2024)
RR
Connecticut
(9/12/2014)
RR
District of Columbia
(4/30/2024)
RR
Florida
(7/29/2021)
RR
Massachusetts
(9/12/2014)
IAR
Massachusetts
(5/11/2016)
RR
New Hampshire
(4/18/2019)
RR
New York
(9/12/2014)
RR
North Carolina
(9/12/2014)
RR
Oregon
(8/11/2021)
RR
Texas
(1/9/2015)
IAR
Texas
(4/29/2016)
RR
Vermont
(1/8/2018)
RR
Virginia
(2/25/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/25/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/14/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/9/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/7/2001
Investment Company Products/Variable Contracts Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts155,482
AUM (Assets Under Management)$ 60,174,309,829

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

KESTRA ADVISORY SERVICES, LLC

CRD#: 283330Northampton, MA 01060

TRUST BUT VERIFY

Monitor James Mahoney

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

JC
Jodie Cohen-potterAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
LAS VEGAS, NV
Nicholas Wayne Rygiel
Nicholas RygielAdvisorCheck Check Mark
PROTOCOL WEALTH, LLC
IAR
Havertown, PA
Natalie Weaver Stenehjem
Natalie StenehjemAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
San Diego, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.