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JH

James B. Hebets

KESTRA INVESTMENT SERVICES
Phoenix, AZ 85016
Some features on this profile are disabled
CRD#: 819911
JH

Professional summary

James Brian Hebets is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Phoenix, Arizona.

James is registered as a RR (Registered Representative) and started their career in finance in 1976. James has worked at 8 firms and has passed the Series 63, Series 6TO, SIE and Series 1 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Brian Hebets's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 11, 2007 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 2575 E Camelback Rd Suite 700, Phoenix, AZ 85016
BD
CRD#: 42046
Phoenix, AZ
Past

September 1, 1999 - June 12, 2007

CETERA ADVISORS LLC

BD
CRD#: 10299
PHOENIX, AZ
Past

August 29, 1997 - September 2, 1999

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

April 18, 1997 - August 29, 1997

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

December 14, 1993 - September 22, 1994

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

February 21, 1989 - August 29, 1997

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

October 21, 1983 - January 9, 1989

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Past

July 16, 1978 - January 2, 1988

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 2682
Past

March 25, 1976 - June 12, 1978

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alaska
(11/13/2017)
RR
Arizona
(6/11/2007)
RR
California
(6/11/2007)
RR
Colorado
(6/11/2007)
RR
Connecticut
(8/30/2010)
RR
Delaware
(6/11/2007)
RR
District of Columbia
(8/11/2025)
RR
Florida
(6/11/2007)
RR
Georgia
(2/16/2022)
RR
Illinois
(4/1/2020)
RR
Indiana
(11/24/2020)
RR
Kansas
(6/11/2007)
RR
Kentucky
(11/24/2020)
RR
Maryland
(6/11/2007)
RR
Massachusetts
(5/30/2024)
RR
Nebraska
(10/16/2013)
RR
Nevada
(7/2/2007)
RR
New Jersey
(1/2/2014)
RR
New Mexico
(10/10/2024)
RR
New York
(8/2/2007)
RR
North Carolina
(10/25/2021)
RR
Ohio
(1/2/2009)
RR
Oregon
(9/24/2019)
RR
South Carolina
(6/11/2007)
RR
Tennessee
(4/6/2020)
RR
Texas
(6/11/2007)
RR
Utah
(6/11/2007)
RR
Vermont
(7/22/2021)
RR
Virginia
(6/11/2007)
RR
Washington
(6/26/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/9/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 3/15/1976
Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

KI
KESTRA INVESTMENT SERVICES, LLC
KESTRA INVESTMENT SERVICES, LLC | PARTNERS SECURITIES, INC. | NFP SECURITIES, INC. | NFP SECIRITIES, INC. | NFP ADVISOR SERVICES, LLC | NFP ADVISOR SERVICES

CRD#: 42046 / SEC#: , 8-49672

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
5707 Southwest Parkway 2-125, Austin, TX 78746
Mailing Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Phone number
(844) 553-7872
Established
Texas since 09/01/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
KESTRA FINANCIAL, INCSOLE MEMBER
AMORE, JOHN VINCENTPRESIDENT5430932
CHESTER, KRISTEN LAWLESSCHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT6896952
KANT, VINAYCHIEF DIGITAL TECHNOLOGY OFFICER7976827
PEDLOW, MICHAEL ROSSCHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT4871563
POER, JAMES LYNNCHIEF EXECUTIVE OFFICER1983357
SCHOENBECK, MARK PAULEXECUTIVE VICE PRESIDENT2625829
YIN, YINCONTROLLER3219513
ZEGERS, SCOTT MATTHEWCHIEF FINANCIAL OFFICER4831659

Disclosures

Regulatory Event14
Arbitration2

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.

Company Information

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046Phoenix, AZ 85016

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