Frank G. Jolley

LIVE OAK PRIVATE WEALTH

Rocky Mount, NC 27804

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CRD#: 1011372

Professional summary

Frank Gehman Jolley is a registered financial advisor currently at LIVE OAK PRIVATE WEALTH, LLC located in Rocky Mount, North Carolina.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Frank has worked at 9 firms and has passed the Series 63, Series 5, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Gehman Jolley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 13, 2020 - Present

LIVE OAK PRIVATE WEALTH, LLC

Office #1: 210 Bryant Street Suite A, Rocky Mount, NC 27804

RIA

CRD#: 297904

Rocky Mount, NC

Past

February 11, 2004 - April 30, 2020

JOLLEY ASSET MANAGEMENT, LLC

RIA

CRD#: 113600

ROCKY MOUNT, NC

Past

June 16, 1994 - September 1, 1998

JBS LIBERTY SECURITIES, INC.

CRD#: 36179

KANNAPOLIS, NC

Past

July 1, 1992 - June 1, 1994

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

July 19, 1989 - October 9, 1990

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

February 24, 1988 - July 25, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

Past

March 18, 1987 - February 24, 1988

CAROLINA SECURITIES CORPORATION

CRD#: 142

Past

October 1, 1984 - March 20, 1987

WACHOVIA SECURITIES, INC.

CRD#: 431

Past

September 30, 1981 - September 28, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LIVE OAK PRIVATE WEALTH, LLC

JOLLEY ASSET MANAGEMENT, A LIVE OAK PRIVATE WEALTH COMPANY | LIVE OAK WEALTH ADVISORS, LLC | LIVE OAK PRIVATE WEALTH, LLC

CRD#: 297904 / SEC#: 801-113818

RIA

Registered Investment Advisory firm - (8/13/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(5/13/2020)

IAR

Texas
(3/24/2022)

IAR

Virginia
(3/24/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/2/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 12/11/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 9/19/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 11/9/1987

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

LIVE OAK PRIVATE WEALTH, LLC

JOLLEY ASSET MANAGEMENT, A LIVE OAK PRIVATE WEALTH COMPANY | LIVE OAK WEALTH ADVISORS, LLC | LIVE OAK PRIVATE WEALTH, LLC

CRD#: 297904 / SEC#: 801-113818

RIA

Registered Investment Advisory firm - (8/13/2018 Approved)

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Contact information

Main Address

1741 Tiburon Drive, Wilmington, NC 28403

Mailing Address

Phone number

(844) 469-5679

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LIVE OAK PRIVATE WEALTH DISCLOSURE BROCHURE 10/8/2025 (10/8/2025)

LIVE OAK WEALTH WRAP PROGRAM 10/8/2025 (10/8/2025)

Regulatory assets under management

Total Number of Accounts	1,086
AUM (Assets Under Management)	$ 1,067,283,022

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Frank G. Jolley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Gehman Jolley's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOLLEY ASSET MANAGEMENT, LLC

JBS LIBERTY SECURITIES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

A. G. EDWARDS & SONS, INC.

THOMSON MCKINNON SECURITIES INC.

CAROLINA SECURITIES CORPORATION

WACHOVIA SECURITIES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

LIVE OAK PRIVATE WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/2/1981

Series 5

Date: 12/11/1982

Series 7

Date: 9/19/1981

Series 8

Date: 11/9/1987

Current Firm

LIVE OAK PRIVATE WEALTH, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIVE OAK PRIVATE WEALTH, LLC

TRUST BUT VERIFY

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