James Austin Duke
Investment adviser representative at Osaic Advisory Services, LLC
14 yearsExperience
2 statesRegistered in
$15.5BFirm assets
12 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
14 years in the industry.
- Osaic Advisory Services, LLCNov 2024 to now
- Osaic Wealth, Inc.Jun 2024 to now
- Arbor Point AdvisorsApr 2022 to Nov 2024
- Securities America, Inc.Apr 2022 to Jun 2024
- Edward JonesDec 2017 to Apr 2022
- Keeler Thomas, Inc.,Jan 2014 to Dec 2017
- Sagepoint FinancialOct 2012 to Dec 2017
Exams passed
- Series 66 · Uniform Combined State Law2011
State registrations
Registered as an investment adviser representative in 2 states (TX, UT).
Osaic Advisory Services, LLC
$15.5BAssets managed
29,898Clients
348Advisers
12 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5887880
- Firm CRD
- 171070