Richard J Finley
Investment Adviser Representative at Kestra Advisory Services, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Richard J. Finley is an investment adviser representative with Kestra Advisory Services, LLC in Fort Worth, TX, where they have been registered since 2025. They have worked in the securities industry since 2021 and were previously registered with J.p. Morgan Securities LLC. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Texas.
Office
Advisors at this office: 3
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Texas
- Broker:
15 states and territories
Alabama, Arizona, California, Colorado, Connecticut, Florida, Maryland, Massachusetts, Nevada, New Mexico, Oklahoma, Tennessee, Texas, Virginia, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- J.p. Morgan Securities LLCJul 2021 – May 2025Fort Worth, TX
- Jpmorgan Chase BANK, N.A.Jul 2021 – May 2025Fort Worth, TX
- JPMorgan Chase & Co.Jun 2020 – Aug 2020Fort Worth, TX
- Rivercrest Country ClubOct 2020 – Jun 2021Fort Worth, TX
- TCU Athletic DepartmentJan 2018 – Mar 2020Fort Worth, TX
- White Nelson Diehl Evans LLPMay 2019 – Aug 2019Irvine, CA
- RPM MortgageMay 2018 – Aug 2018Newport Beach, CA
- Texas Christian UniversityAug 2017 – May 2021Fort Worth, TX
- Arnold O. Beckman High SchoolAug 2013 – Jun 2017Tustin, CA
- UnemployedJun 2017 – Aug 2017Tustin, CA
- Kestra Investment Services, LLCJun 2025 – no end date reportedFort Worth, TX
- Kestra Advisory Services, LLCJun 2025 – no end date reportedFort Worth, TX
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Kestra Advisory Services, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Estimated blended rate
- 0.025
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 1,427
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Austin, TX
- SEC file number:
- 801-56126
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 22, 2026
View full firm profileOther advisors at Kestra Advisory Services, LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Richard J Finley has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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