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James Robert Winters

Kestra Advisory Services, LLC

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About James Robert Winters

James Robert Winters is a financial advisor with Kestra Advisory Services, LLC. James is a registered investment advisor representative and is active in the state of Ohio. James has been in the industry since 1987 and holds the Series 6 and Series 63 securities licenses as well as the SIE exam. James provides a variety of financial planning services, portfolio management for individuals and businesses, and selection of other advisors.

Firm Information

James Winters is currently registered with Kestra Advisory Services, LLC. Kestra Advisory Services, LLC is a financial advisory firm based in Austin, TX, with over 1,200 investment advisor representatives and 48.3 billion in assets under management. Kestra offers a variety of financial advisory services including financial planning, portfolio management, and pension consulting. The firm serves a broad range of clients, including individuals, corporations, insurance companies, pension plans, and charitable organizations. Kestra participates in wrap fee programs.
Kestra Advisory Services, LLC

5707 SOUTHWEST PARKWAY

AUSTIN, TX 78735

$48.32B

Assets Under Management

6,180

Total Clients

1,197

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Winters’s Registration & Firm History

OH

04/21/2016 - Present

Kestra Advisory Services, LLC (CINCINNATI OH)

OH

04/04/1996 - 09/02/2009

MUTUAL SERVICE CORPORATION (CINCINNATI OH)

CA

01/25/1993 - 04/04/1996

WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)

CA

09/26/1990 - 12/31/1992

WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)

MI

12/17/1987 - 09/28/1990

SIGMA FINANCIAL CORPORATION (ANN ARBOR MI)

NA

04/13/1987 - 12/31/1987

THE SAXON GROUP, INC.

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Licenses & Designations

BC

Issued 03/18/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/10/1987

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Robert Winters.
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