JH
James Havell
KESTRA ADVISORY SERVICES
Port Jefferson, NY 11777
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CRD#: 6988125
JH
Professional summary
James Havell, who also goes by James R Havell, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Port Jefferson, New York and KESTRA INVESTMENT SERVICES, LLC located in Port Jefferson, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. James has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James R Havell
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: Coastline Wealth Management Investment Related: Yes Address: 1303 Main St Port Jefferson NY 11777 Nature of Business: Registered Rep Position, Title or Relationship: Financial Advisor Start Date: 11/07/2022 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties:Meeting individually with clients to determine their financial objectives, risk tolerance, income, expenses and assets ? Offering strategic advice on products and services, such as investments, insurance coverage and debt management tools ? Maintaining compliance with all rules and regulations in the financial industry ? Identifying and pursuing potential clients to maintain a strong client base ? Assist in client meeting preparation and follow-up including assembling requisite paperwork, report generation, appointment scheduling and post-meeting documentation ? Manage client needs regarding processing, service, and problem resolution in a timely and accurate manner while ensuring documentation and record keeping adheres to compliance standards ? Process, submit, and service all account paperwork/requests; follow through to completion utilizing paperless procedures (including eSignature) where available Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/05/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: HAGENDORF & HAVELL WEALTH MANAGEMENT & WEALTH AUDITS POSITION: Financial Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/05/2025 ADDRESS: 1303 Main St, Port Jefferson NY 11777, United States DESCRIPTION: Helps individuals, businesses, and institutions grow, manage, and protect their money through professional financial services.
CRS (Client Relationship Summary) - RIA
Click below to view James Havell'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
November 29, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1303 Main Street, Port Jefferson, NY 11777RIA
CRD#: 283330
Port Jefferson, NY
Current
November 29, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1303 Main Street, Port Jefferson, NY 11777BD
CRD#: 42046
Port Jefferson, NY
Past
September 1, 2022 - December 6, 2022
TANAGER WEALTH MANAGEMENT
RIA
CRD#: 166084
Philadelphia, PA
Past
July 15, 2020 - June 13, 2022
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
PORT JEFFERSON STN, NY
Past
October 11, 2019 - June 13, 2022
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Port Jefferson, NY
Past
May 23, 2019 - October 9, 2019
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
NEW YORK, 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(11/29/2022)
RR
Florida(11/29/2022)
RR
New Hampshire(3/27/2023)
RR
New Jersey(11/29/2022)
RR
New York(11/29/2022)
IAR
New York(11/29/2022)
RR
Pennsylvania(11/29/2022)
RR
South Carolina(12/6/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/23/2019
General Securities Representative ExaminationGeneral 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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Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Port Jefferson, NY 11777TRUST BUT VERIFY
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