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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

James Austin Duke

Advisor at OSAIC ADVISORY SERVICES, LLC

AMERICAN FORK, UT

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Search this name across graphsid dfx:ria:409edb10-df41-63bb-39e9-5480b1675464

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 3, 2012 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OSAIC ADVISORY SERVICES, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 27, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Dec 27, 2011
First registration: Jan 3, 2012
Dual registered: yes, broker-dealer
Other names: JAMES AUSTIN DUKE|Austin Duke
IAPD individual key: 5887880

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OSAIC ADVISORY SERVICES, LLC	Bd affiliated wealth	Nov 8, 2024	n/a	yes	AMERICAN FORK, UT	Current employment
ARBOR POINT ADVISORS	Former SEC adviser	Apr 18, 2022	Nov 8, 2024	no	AMERICAN FORK, UT	Previous registration
EDWARD JONES	National bd RIA	Dec 11, 2017	Apr 19, 2022	no	AMERICAN FORK, UT\|ST LOUIS, MO\|PROVO, UT\|SALT LAKE CITY, UT	Previous registration
KEELER THOMAS MANAGEMENT LLC	Independent wealth	Jan 3, 2014	Dec 8, 2017	no	OREM, UT	Previous registration
MORGAN STANLEY	Wirehouse	Jan 3, 2012	Oct 5, 2012	no	SOUTH JORDAN, UT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ARBOR POINT ADVISORS	OSAIC ADVISORY SERVICES, LLC	Nov 8, 2024	Nov 8, 2024	0	Bulk transfer	Ibd to ibd
EDWARD JONES	ARBOR POINT ADVISORS	Apr 19, 2022	Apr 18, 2022	-1	Firm change	Ibd to ibd
KEELER THOMAS MANAGEMENT LLC	EDWARD JONES	Dec 8, 2017	Dec 11, 2017	3	Firm change	Other
MORGAN STANLEY	KEELER THOMAS MANAGEMENT LLC	Oct 5, 2012	Jan 3, 2014	455	Firm change after gap	Other

Relationships

Registered with (5)

→ OSAIC ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
Nov 8, 2024 to presentfactForm ADV
→ ARBOR POINT ADVISORSRegistered adviserregistration: previous registration
Apr 18, 2022 to Nov 8, 2024factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Dec 11, 2017 to Apr 19, 2022factForm ADV
→ KEELER THOMAS MANAGEMENT LLCRegistered adviserregistration: previous registration
Jan 3, 2014 to Dec 8, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jan 3, 2012 to Oct 5, 2012factForm ADV

Dated events

Occurred
Apr 19, 2022
Advisor changed firm
James Austin Duke left Edward Jones for Arbor Point Advisors (registered 2022-04-18)
Form ADVobserved 4 days ago