James Audas is a CFP-designated registered investment advisor, based in Prior Lake, MN, with 23 years of industry experience.
Location
Prior Lake, MN
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Current Registrations
Kestra Investment Services, LLC
July 2025 - Present · 10 mos
Kestra Investment Services, LLCBroker
July 2025 - Present · 10 mos
Kestra Advisory Services, LLC
July 2025 - Present · 10 mos
Previous Registrations
Harbor Funds Distributors, INC.Broker
August 2023 - July 2025 · 1 yr 11 mos
Nuveen Securities, LLCBroker
August 2021 - July 2023 · 1 yr 11 mos
Nuveen Asset Management, LLC
August 2021 - July 2023 · 1 yr 11 mos
Delaware Distributors, L.P.Broker
May 2021 - August 2021 · 3 mos
Waddell & Reed
December 2013 - April 2021 · 7 yrs 4 mos
Ivy Distributors, INC.Broker
March 2004 - August 2021 · 17 yrs 5 mos
Waddell & ReedBroker
March 2004 - April 2021 · 17 yrs 1 mo
Pioneer Funds Distributor, INC.Broker
March 2001 - December 2002 · 1 yr 9 mos
Freedom Financial, INC.Broker
November 2000 - March 2001 · 4 mos
State Registrations9 states
ARAZCAIAMNMONESDTX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.