James H. Livingston

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CRD#: 1014830

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Henry Livingston, who also goes by James H Livingston, James H Livington, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1981. James had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James H Livingston | James H Livington

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.

"(1) A) RETIREMENT RESOURCES ADVISORY INC. B) INVESTMENT ADVISORY C) / AS PRESIDENT, I AM INVOLVED IN ALL PHASES OF THE ADVISORY BUSINESS, INCLUDING GIVING INVESTMENT ADVICE, ADMINISTRATION AND SALES D) I SPEND ABOUT 20 HOURS A WEEK DEVOTED TO THIS BUSINESS. / THE HOURS SPENT ARE DURING TRADING HOURS E) PRESIDENT-FOUNDED IN 1986" (2) A) INSURANCE B) SALES AS AN INDIVIDUAL. C) I AM LICENSED DIRECTLY WITH A NUMBER OF INSURANCE COMPANIES TO SELL LIFE INSURANCE, HEALTH INSURANCE AND ANNUITIES. D) I WORK AROUND 10 HOURS PER WEEK ON THESE ACTIVITIES. (3) A) NORTHWOOD GROUP, LLC B) NOT INVESTMENT-RELATED C) 2535 LANDMARK DR. #103 CLEARWATER, FL 33761 D) OWNS AN OFFICE CONDO THAT I DO BUSINESS IN AS A FINANCIAL PLANNER. E) MANAGING MEMBER F) 08/24/2017 G) 0 HOURS H) 0 HOURS I) PAY THE COSTS OF CONDUCTING BUSINESS AS A FINANCIAL PLANNER REGISTERED UNDER J.W. COLE FINANCIAL AND J.W. COLE FINANCIAL ADVISORY. (4) A) RENTAL PROPERTY B) INVESTMENT-RELATED C) 5327 COMMERCIAL WAY SPRING HILL, FL 34606 D) RENTAL PROPERTY. E) PRESIDENT F) 09/01/2004 G) 8 HOURS H) 8 HOURS I) I OWN THIS PROPERTY THROUGH A CORPORATION. I LEASE THE PROPERTY TO ANOTHER CORPORATION THAT I OWN, RETIREMENT RESOURCES ADVISORY, INC., I MAKE SURE ALL THE COSTS OF THE PROPERTY ARE PAID AND THE PROPERTY IS KEPT UP TO APPLICABLE STANDARDS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 12, 2011 - August 19, 2022

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

TAMPA, FL

Past

April 8, 2011 - December 31, 2022

J.W. COLE FINANCIAL, INC.

CRD#: 124583

CLEARWATER, FL

Past

October 24, 1990 - April 28, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

CLEARWATER, FL

Past

March 1, 1990 - July 26, 2011

RETIREMENT RESOURCES ADVISORY, INC.

RIA

CRD#: 115281

CLEARWATER, FL

Past

February 9, 1987 - November 6, 1990

BRAUER & ASSOCIATES, INC.

CRD#: 18278

ST. PETERSBURG, FL

Past

February 6, 1986 - May 28, 1987

NIES/BRAUER SECURITIES, INC.

CRD#: 6707

Past

August 29, 1983 - February 11, 1986

MERRICO INVESTMENTS CORPORATION

CRD#: 8462

Past

October 4, 1982 - August 29, 1983

FIRST PARK EQUITIES, INC.

CRD#: 5269

Past

November 17, 1981 - October 12, 1982

NIES/BRAUER SECURITIES, INC.

CRD#: 6707

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".

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/11/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/7/1992

General Securities Principal Examination

Current Firm

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

Phone number

(813) 935-6776

Established

Firm type

Fiscal year end

# of Employees

512

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/28/2025)

JWCA 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	29,614
AUM (Assets Under Management)	$ 7,195,237,282

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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Firm Stability Insights

James H. Livingston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

SECURITIES AMERICA, INC.

RETIREMENT RESOURCES ADVISORY, INC.

BRAUER & ASSOCIATES, INC.

NIES/BRAUER SECURITIES, INC.

MERRICO INVESTMENTS CORPORATION

FIRST PARK EQUITIES, INC.

NIES/BRAUER SECURITIES, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/11/1993

SIE

Date: 10/1/2018

Series 7

Date: 10/17/1981

Series 24

Date: 5/7/1992

Current Firm

J. W. COLE ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J. W. COLE ADVISORS, INC.

TRUST BUT VERIFY

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