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FJ

Frank G. Jolley

LIVE OAK PRIVATE WEALTH
Rocky Mount, NC 27804
Some features on this profile are disabled
CRD#: 1011372
FJ

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.

BD
CRD#: 36179
KANNAPOLIS, NC
Past

July 1, 1992 - June 1, 1994

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

July 19, 1989 - October 9, 1990

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

February 24, 1988 - July 25, 1989

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
NEW YORK, NY
Past

March 18, 1987 - February 24, 1988

CAROLINA SECURITIES CORPORATION

BD
CRD#: 142
Past

October 1, 1984 - March 20, 1987

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
Past

September 30, 1981 - September 28, 1984

MORGAN STANLEY DW INC.

BD
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".
LO
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)

Exams

State Security Law Exam
RR
Series 63
Date: 10/2/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 12/11/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 11/9/1987
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

LO
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
12

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LIVE OAK PRIVATE WEALTH DISCLOSURE BROCHURE 2/10/2026 (2/10/2026)
LIVE OAK WEALTH WRAP PROGRAM 2/10/2026 (2/10/2026)

Regulatory assets under management

Total Number of Accounts1,157
AUM (Assets Under Management)$ 1,320,408,330

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.

Company Information

LIVE OAK PRIVATE WEALTH, LLC

CRD#: 297904Rocky Mount, NC 27804

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