JB
James A. Boller
KESTRA ADVISORY SERVICES
ROCHESTER, NY
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CRD#: 5187476
JB
Professional summary
James A. Boller, ChFC®, who also goes by James A Boller, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Rochester, New York and KESTRA INVESTMENT SERVICES, LLC located in Rochester, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. James has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James A Boller
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: James A. Boller, ChFC Regent Financial Group, LLC Investment Related: Yes Address: 1080 Pittsford-Victor Rd Pittsford NY 14534 Nature of Business: Insurance; Investment Advisory (RIA, IAR, Financial Planning, etc.) Position, Title or Relationship: Financial Advisor, ChFC, Vice President Start Date: 7/1/2006 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Duties are the same as in 3.5. I am not an employee and make my living only through commissions and paid via 1099. the dba is a means to market the above stated business activities.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 servicesBusiness Name: James A Boller Regent Financial Group, LLC Investment Related: No Address: 1080 Pittsford Victor Road Pittsford NY 14534 Nature of Business: Insurance Position, Title or Relationship: producer Start Date: 7/1/2006 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: brokering best product for clients based upon needs
CRS (Client Relationship Summary) - RIA
Click below to view James A. Boller'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®
Experience
Current
June 16, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 777 Canal View Blvd Suite 800, Rochester, NY 14623RIA
CRD#: 283330
ROCHESTER, NY
Current
July 31, 2006 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 777 Canal View Blvd Suite 800, Rochester, NY 14623BD
CRD#: 42046
Rochester, NY
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(2/7/2011)
RR
Colorado(3/1/2017)
RR
Connecticut(2/1/2007)
RR
District of Columbia(11/9/2023)
RR
Florida(2/23/2007)
RR
Georgia(2/7/2011)
RR
Indiana(4/23/2008)
RR
Maryland(2/7/2011)
RR
Massachusetts(4/4/2017)
RR
New Jersey(2/7/2011)
RR
New York(8/15/2006)
IAR
New York(6/16/2021)
RR
North Carolina(1/12/2017)
RR
Ohio(1/9/2012)
RR
Oregon(6/27/2019)
RR
Pennsylvania(1/21/2011)
RR
South Carolina(3/28/2017)
RR
Vermont(4/24/2012)
RR
Virginia(3/8/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
