James Audas

Employer firm

Kestra Advisory Services, LLC CRD 283330

$79.8B regulatory AUM 6,392 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2004 → 04/2021
  Waddell & Reed Inc
  Shawnee Mission, KS
• 05/2021 → 08/2021
  Delaware Distributors, L.P.
  Philadelphia, PA
• 05/2021 → 08/2021
  Macquarie Investment Management
  Philadelphia, PA
• 08/2021 → 08/2023
  Nuveen Securities, Llc
  Prior Lake, MN
• 08/2021 → 08/2023
  Nuveen Assett Management, Llc
  Chicago, IL
• 08/2023 → 06/2025
  Harbor Funds Distributors, Inc.
  Chicago, IL
• 08/2023 → 06/2025
  Harbor Capital Advisors, Inc.
  Chicago, IL
• 06/2025 → Present
  Kestra Investment Services, Llc
  Johnston, IA
• 06/2025 → Present
  Kestra Advisory Services, Llc
  Johnston, IA
• 02/2004 → 08/2021
  Ivy Distributors, Inc
  Shawnee Mission, KS

Previous Registrations

• 2021-08-31 → 2023-07-07
  Nuveen Asset Management, Llc
  Chicago, IL
• 2013-12-09 → 2021-04-21
  Waddell & Reed
  Overland Park, KS
  Overland Park, KS

Other Businesses

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: 06/13/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: PREMIER FINANCIAL CONSULTANTS POSITION: Registered Rep NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 06/13/2025 ADDRESS: 16047 Northwood Rd NW, Prior Lake MN 55372, United States DESCRIPTION: Registered Rep activities through Kestra Investment Services. Name: A5 HOLDINGS, LLC POSITION: Owner NATURE: Self Serve Car Wash INVESTMENT RELATED: No # OF HOURS: 20 SECURITIES TRADING HOURS: 2 START DATE: 07/13/2003 ADDRESS: 16047 Northwood Rd NW, Prior Lake MN 55372, United States DESCRIPTION: Owner, Help my partner (spouse) who runs the business on a day to day basis. Name: CLEANWAY LLC POSITION: Owner NATURE: Self Serve Car Wash INVESTMENT RELATED: No # OF HOURS: 20 SECURITIES TRADING HOURS: 4 START DATE: 11/20/2024 ADDRESS: 16047 Northwood Rd NW, Prior Lake MN 55372, United States DESCRIPTION: Owner, support business partner (spouse) who runs the day to day operations of the business

Exams

• S63 Uniform Securities Agent State Law Examination
  2000-12-20

Designations

• Certified Financial Planner

Other Names

• Jim Richard Audas
• Jim R Audas
• James Richard Audas
• James R Audas