James David Hertzler

Current Employers

Employment History

• 12/2013 → 12/2018
  Brand Asset Management Group, Inc.
  Chesterfield, MO
• 02/2019 → 07/2022
  Royal Alliance
  Chesterfield, MO
• 07/2022 → Present
  Kestra Investment Services Llc
  Chesterfield, MO
• 07/2022 → Present
  Kestra Advisory Services Llc
  Chesterfield, MO

Previous Registrations

• 2019-04-08 → 2022-12-22
  Financial Legacy Associates
  Chesterfield, MO
• 2019-02-28 → 2022-07-29
  Osaic Wealth, Inc.
  Chesterfield, MO
• 2014-03-31 → 2018-12-31
  Brand Asset Management Group, Inc.
  Chesterfield, MO

Other Businesses

Name: HERTZLER WEALTH MANAGEMENT, LLC POSI: President/Managing Member NOB: Insurance INV REL: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/28/2022 ADDRESS: 16020 Swingley Ridge Road, Suite 135, Chesterfield MO 63017, United States DESC: I am the President and managing member of Hertzler Wealth Management, LLC. This provides the business structure and DBA for activities related to being a Registered Representative for Kestra IS and an IAR for Kestra AS for both myself and Connie Hertzler. We also will be engaged in selling life insurance, long-term care insurance, and fixed annuities as appropriate. Name: JAMES D HERTZLER, NOTARY PUBLIC POSI: Notary NOB: Notary Public INV REL: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/10/2022 ADDRESS: 16020 Swingley Ridge Road, Suite 135, Chesterfield MO 63017, United States DESCRIPTION: Verify identities and notarize customer documents Name: CHESTERFIELD COMMUNITY CHURCH POSI: Elder NOB: Board position (Board of Directors, Board of Trustees, etc.) INV REL: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/20/2013 ADDRESS: 14647 Ladue Road, Chesterfield MO 63017, DESC: I am part of a group that provides leadership, oversight, and missional planning for the church. Name: KESTRA ADVISORY SERVICES, LLC POSI: IAR NOB: Investment advisory services through Kestra Advisory Services, LLC INV REL: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/28/2022 ADDRESS: 5707 southwest pkwy,, BLDG 2, suite 400, Austin TX 78735 DESC: Provide services as an IAR of Kestra Advisory Services LLC. Name: HERTZLER WEALTH MANAGEMENT LLC POSI: Lease holder NOB: Real Estate INV REL: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 16020 Swingley Ridge Rd., Suite 135, Chesterfield MO 63017 DESC: Continue to pay the lease obligation that we have and supervise that the office space is being used properly. Name: BRIDGEMAN ACADEMY OF PERFORMING ARTS POSITION: Board Member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 05/15/2026 ADDRESS: 1120 Technology Dr., Ste 104, O'Fallon MO 63368, United States DESCRIPTION: I am part of a group that will help to give missional oversight to the directors of the organization and provide insight from our experiences in business.

Exams

• S63 Uniform Securities Agent State Law Examination
  2019-02-27
• S65 Uniform Investment Adviser Law Examination
  2014-03-31