JC
James F. Congema
KESTRA ADVISORY SERVICES
Kings Park, NY 11754
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CRD#: 5832626
JC
Professional summary
James Francis Congema, who also goes by James Congema, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Kings Park, New York and KESTRA INVESTMENT SERVICES, LLC located in Kings Park, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Congema
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.
I created a S corp on 3/24/2021 titled JFC Wealth Management. I am the president of the S Corp, there are no other employees. This S Corp is for the sole purpose of record keeping for income and expenses related to my Financial Advising business. There are no investment related activities. JFC WEALTH MANAGEMENT POSITION: President NATURE: This S corp is used solely for the purposes of accounting for income and expenses relating to my Financial advising through Kestra. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 03/24/2021 ADDRESS: 70 Aberdeen Road, Smithtown, NY NY 11787, United States DESCRIPTION: This business is solely used for the purpose of accounting for income and expenses relating to Financial Advising through Kestra and Main Street Financial. KESTRA ADVISORY SERVICES, LLC POSITION: Financial Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/13/2022 ADDRESS: 5707 Southwest Parkway, Building 2, ste 400, Austin TX 78735, United States DESCRIPTION: manage accounts for clients ACCESS BROKERAGE SERVICES POSITION: Other, All life insurance policies are issued through Access Brokerage NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 88 SECURITIES TRADING HOURS: 77 START DATE: 08/01/2022 ADDRESS: 14 Roosevelt Avenue, Port Jefferson Station NY 11776, United States DESCRIPTION: Meeting with clients. Selling insurance products to clients. Reviewing and comparing existing policies. MAIN STREET FINANCIAL GROUP POSITION: Financial Advisor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/13/2022 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: I am a Financial Advisor with Main Street Financial Group. This is our DBA. Offering financial advice and investments in securities, mutual funds, ETFs, VA's, etc. Performing day to day maintenance on accounts.
CRS (Client Relationship Summary) - RIA
Click below to view James Francis Congema'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
May 13, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 80 East Main St, Kings Park, NY 11754RIA
CRD#: 283330
Kings Park, NY
Current
May 13, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 80 East Main St, Kings Park, NY 11754BD
CRD#: 42046
Kings Park, NY
Past
July 21, 2011 - June 6, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
HAUPPAUGE, NY
Past
June 1, 2011 - June 6, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
HAUPPAUGE, NY
Past
February 17, 2011 - March 24, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
HAUPPAUGE, 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
Connecticut(6/4/2025)
RR
Delaware(5/13/2022)
RR
Florida(5/13/2022)
RR
Massachusetts(6/17/2025)
RR
New Jersey(5/13/2022)
RR
New York(5/13/2022)
IAR
New York(5/13/2022)
RR
North Carolina(5/13/2022)
RR
Pennsylvania(5/13/2022)
RR
South Carolina(5/13/2022)
RR
Vermont(5/13/2022)
Exams
State Security Law 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.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Kings Park, NY 11754TRUST BUT VERIFY
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