James H. Davis
Professional summary
James Horace Davis JR, CIMA®, who also goes by Jim H Davis, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Austin, Texas and KESTRA INVESTMENT SERVICES, LLC located in Brentwood, Tennessee.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. James has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Horace Davis JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735Office #3: 112 Westwood Pl. Ste 365, Brentwood, TN 37027April 1, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 112 Westwood Pl. Ste 365, Brentwood, TN 37027April 16, 2012 - April 1, 2022
NBC SECURITIES, INC.
January 25, 2007 - March 30, 2012
DAVIS RESELAND, LLC
September 29, 2000 - April 1, 2022
NBC SECURITIES, INC.
March 9, 1993 - August 9, 2007
PEERMAN DAVIS LLC
December 3, 1992 - October 3, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 5, 1986 - December 5, 1992
ADVANCED FINANCIAL PLANNING SECURITIES CORPORATION
June 17, 1974 - February 8, 1986
CINCINNATI ANALYSTS, INC.
November 16, 1973 - August 15, 1974
ADVANCED FINANCIAL PLANNING CORP
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/4/2022)
(4/1/2022)
(4/1/2022)
(4/1/2022)
(7/12/2023)
(4/4/2022)
(5/31/2022)
(4/1/2022)
(4/1/2022)
(4/6/2022)
(4/1/2022)
(4/1/2022)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 11/13/1973
Registered Representative ExaminationFINRA
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
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
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