RF
Richard J. Finley
KESTRA ADVISORY SERVICES
Fort Worth, TX 76116
Some features on this profile are disabled
CRD#: 7400793
RF
Professional summary
Richard J Finley, who also goes by Rj Finley, Richard John Finley, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Fort Worth, Texas and KESTRA INVESTMENT SERVICES, LLC located in Fort Worth, Texas.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Richard has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rj Finley | Richard John Finley
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: DECIDEDLY WEALTH MANAGEMENT POSITION: Private Wealth Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 06/09/2025 ADDRESS: 6100 Camp Bowie Blvd, Suite 24, Fort Worth TX 76116, United States DESCRIPTION: I will be a private wealth advisor at Decidedly Wealth Management advising clients with Kestra Financial Services as the Broker Dealer. Name: 356 INVESTMENTS LLC POSITION: President NATURE: This is a personal LLC holding company used my me personally for the purpose of investing in passive investments such as private market opportunities, real estate, and public investments. Currently no investments have been made other than idle cash in a brokerage account purchasing a passive money market fund. INVESTMENT RELATED: Yes # OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/05/2023 ADDRESS: 229 McGee Dr, Fort Worth TX 76114, United States DESCRIPTION: Ensure entity is current in fillings and make any decisions relating to the entity.
CRS (Client Relationship Summary) - RIA
Click below to view Richard J Finley'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
June 12, 2025 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 6100 Camp Bowie Blvd. Suite #24, Fort Worth, TX 76116RIA
CRD#: 283330
Fort Worth, TX
Current
June 12, 2025 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 6100 Camp Bowie Blvd. Suite #24, Fort Worth, TX 76116BD
CRD#: 42046
Fort Worth, TX
Past
October 8, 2021 - May 22, 2025
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Fort Worth, TX
Past
August 20, 2021 - May 22, 2025
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Fort Worth, TX
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
Alabama(6/12/2025)
RR
California(6/12/2025)
RR
Colorado(6/12/2025)
RR
Connecticut(6/12/2025)
RR
Florida(6/12/2025)
RR
Maryland(6/12/2025)
RR
Massachusetts(6/12/2025)
RR
Nevada(6/12/2025)
RR
New Mexico(6/12/2025)
RR
Oklahoma(6/12/2025)
RR
Texas(6/12/2025)
IAR
Texas(6/12/2025)
RR
Virginia(6/12/2025)
RR
Washington(6/12/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/19/2021
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
