James P. Sinnott
KESTRA ADVISORY SERVICES
FALLS CHURCH, VA 22043
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CRD#: 6608120
Professional summary
James Patrick Sinnott, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Falls Church, Virginia and KESTRA INVESTMENT SERVICES, LLC located in Falls Church, Virginia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. James has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Name: CAPSTONE POSITION: Vice President NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/16/2023 ADDRESS: 7639 Leesburg Pike, Falls Church VA 22043 DESCRIPTION: Client Service Financial Planning Investment research and due diligence Reporting Name: KESTRA ADVISORY SERVICES POSITION: Vice President NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/16/2023 ADDRESS: 5707 Southwest Parkway, Bldg 2, Ste 400, Austin TX 78735 DESCRIPTION: Client Service Reporting Financial Planning Investment Management and due diligence Name: RBMUHA POSITION: Vice President NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/13/2025 ADDRESS: 7639 Leesburg Pike, Falls Church VA 22043, United States DESCRIPTION: Retirement Plan Advisory Services Name: ST. MONICA FINANCE COUNCIL POSITION: Finance Council Member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No # OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/18/2025 ADDRESS: 63 Main Ave, Berwyn PA 19312, United States DESCRIPTION: Meet once a month to discuss the financial standing of the parish.
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Sinnott'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®
CFP®
Start date: 2019
Experience
Current
January 24, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 7639 Leesburg Pike, Falls Church, VA 22043RIA
CRD#: 283330
FALLS CHURCH, VA
Current
January 24, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 7639 Leesburg Pike, Falls Church, VA 22043BD
CRD#: 42046
Falls Church, VA
Past
April 3, 2017 - January 25, 2023
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
CONSHOHOCKEN, PA
Past
April 3, 2017 - January 25, 2023
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
CONSHOHOCKEN, PA
Past
May 3, 2016 - April 4, 2017
MORGAN STANLEY
RIA
CRD#: 149777
WASHINGTON, DC
Past
March 25, 2016 - April 4, 2017
MORGAN STANLEY
BD
CRD#: 149777
WASHINGTON, DC
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
Arizona(1/24/2023)
RR
California(1/24/2023)
RR
Connecticut(1/24/2023)
RR
District of Columbia(1/24/2023)
RR
Illinois(1/24/2023)
RR
Iowa(1/24/2023)
RR
Maryland(1/24/2023)
RR
Massachusetts(1/24/2023)
RR
Nevada(8/6/2024)
RR
New Jersey(5/30/2025)
RR
North Carolina(1/26/2023)
RR
Ohio(1/24/2023)
RR
Pennsylvania(1/24/2023)
RR
Puerto Rico(1/24/2023)
RR
South Carolina(1/24/2023)
RR
Virginia(1/24/2023)
IAR
Virginia(1/24/2023)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
