James LivingstonCRD Number: 1014830
Current Firm: J. W. Cole Advisors, Inc.
James Livingston (CRD# 1014830) is an Investment Advisor Representative working at J. W. Cole Advisors, Inc. in Tampa, FL and has over 24 years of experience in the finance industry. James Livingston has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Gavin Management Group, Inc.
The Financial Well, Inc.
Gator Capital Management, LLC
|Jonathan Roberts Advisory Group, Inc.||Tampa, FL||Apr 2011 - Current||7|
|J.w. Cole Financial, Inc.||Tampa, FL||Apr 2011 - Current||7|
|Retirement Resources Advisory, Inc.||Clearwater, FL||Aug 1986 - Current||31|
|Securities America, Inc.||Clearwater, FL||Oct 1990 - Apr 2011||20|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1993|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management1,501MILLIONS
Total Number of Accounts7,731ACCOUNTS
Average Account Value$194,099
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV