JD
James F. Delay
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CRD#: 64444
JD
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Foster Delay was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 9 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
Business Name: NFP Executive Benefits Investment Related: Yes Address: 6302 Fairview Road, Suite 309 Charlotte NC 28210 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Consultant Start Date: 7/1/2015 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: Fee based consulting with Boards of Directors and Senior Management regarding compensation and benefits.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: Symphony Travel Club, LLC Investment Related: No Address: 105 Mallard Trail Ponte Vedra Beach FL 32082 Nature of Business: Other Other/None of the Above White label website providing an online booking experience for hotels, airlines, rental cars and crises Position, Title or Relationship: LLC Manager, Chief Marketing Officer Start Date: 6/1/2018 Hours per month: 31% - 40% (49 - 64 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Business developmentBusiness Name: Jordan Foster Aviation, LLC. Investment Related: No Address: 105 Mallard Trail Ponte Vedra Beach FL 32082 Nature of Business: Other Other/None of the Above Own and operate an aircraft pursuant to Part 91 of the Federal Aviation Regulations Position, Title or Relationship: Manager Start Date: 1/1/2020 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Provide operational oversight of the owned aircraft.
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®
NoneExperience
Past
June 15, 2016 - January 27, 2023
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Ponte Vedra Beach, FL
Past
August 3, 2007 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
Warrington, PA
Past
July 13, 2007 - January 27, 2023
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Warrington, PA
Past
July 2, 2001 - July 16, 2007
CLARK SECURITIES, INC.
BD
CRD#: 43803
PONTE VEDRA, FL
Past
August 10, 1998 - July 2, 2001
CLARK-BARDES SECURITIES, INC.
BD
CRD#: 29094
DALLAS, TX
Past
May 29, 1997 - July 7, 1998
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
August 5, 1992 - July 3, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
February 13, 1985 - April 29, 1992
GORDIAN SECURITIES, INC.
BD
CRD#: 14922
Past
March 18, 1983 - June 7, 1985
VP DISTRIBUTORS LLC
BD
CRD#: 3036
Past
June 4, 1971 - June 17, 1985
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/24/1971
Registered Representative ExaminationPrincipal/Supervisory Exam
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.
