James L. Livingston
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 Loyd Livingston JR, who also goes by James Lloyd Livingston, James Loyd Livingston, Jim Livingston, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 9 firms and has passed the SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2015 - June 11, 2015
SII INVESTMENTS, INC.
January 20, 2015 - June 11, 2015
INVESTMENT CENTERS OF AMERICA, INC.
January 20, 2015 - June 11, 2015
INVEST FINANCIAL CORPORATION
January 9, 2015 - June 9, 2015
NATIONAL PLANNING CORPORATION
March 20, 2013 - January 22, 2015
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
August 11, 2010 - March 8, 2013
SII INVESTMENTS, INC.
August 11, 2010 - March 8, 2013
NATIONAL PLANNING CORPORATION
August 11, 2010 - March 8, 2013
INVESTMENT CENTERS OF AMERICA, INC.
August 11, 2010 - March 8, 2013
INVEST FINANCIAL CORPORATION
July 8, 2009 - May 12, 2010
INVEST FINANCIAL CORPORATION
April 3, 2003 - July 6, 2011
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
June 19, 2002 - March 21, 2003
CARILLON INVESTMENTS, INC.
July 26, 1996 - May 31, 2002
SLD AMERICA EQUITIES, INC.
June 16, 1994 - March 30, 1995
FIDELITY EQUITY SERVICES CORPORATION
February 2, 1984 - August 17, 1984
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
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