James C. Marshal

THE INSTITUTE

MELBOURNE, FL 32901

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CRD#: 2161635

Professional summary

James C Marshal, who also goes by James A Cundiff, James Austin Cundiff, Jim Austin Cundiff, is a registered financial advisor currently at THE INSTITUTE located in Melbourne, Florida.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. James has worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 52 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James A Cundiff | James Austin Cundiff | Jim Austin Cundiff

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.

Mr. Marshal also provides personal CFO services for nonprofit and for profit businesses that include compiling and analyzing financial information in support of proper accounting entries into business ERP systems, such as general ledger entries that detail business transactions. He also monitors for proper compliance with GAAP standards and company procedures. prepares annual budget(s), collects appropriate data for the preparation of Federal, State, and local reports and tax returns. Consults with Business owners and their Comptroller/Accounting staff. Provides payroll services (via ADP Workforce NOW), and other A/R related activities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James C Marshal'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

July 18, 2019 - Present

THE INSTITUTE

Office #1: 1900 S Harbor City Blvd Ste 328, Melbourne, FL 32901

RIA

CRD#: 127207

MELBOURNE, FL

Past

March 27, 2013 - April 30, 2019

INSTITUTE FOR WEALTH ADVISORS, INC.

RIA

CRD#: 149347

MELBOURNE, FL

Past

January 13, 2004 - March 4, 2013

SPC

RIA

CRD#: 110692

MELBOURNE, FL

Past

January 13, 2004 - March 4, 2013

SIGMA FINANCIAL CORPORATION

CRD#: 14303

MELBOURNE, FL

Past

August 13, 2003 - January 13, 2004

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PETALUMA, CA

Past

January 19, 2001 - September 12, 2003

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

INDIALANTIC, FL

Past

February 8, 2000 - September 11, 2003

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BOCA RATON, FL

Past

March 2, 1999 - February 13, 2000

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

May 8, 1998 - February 9, 1999

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

September 20, 1996 - April 21, 1998

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

THE INSTITUTE

CRD#: 127207 / SEC#: 801-67624

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

Colorado

Registered Investment Advisory firm - (4/3/2007 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.

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

Florida
(7/18/2019)

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

IAR

Series 65

Date: 8/12/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/15/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/20/1997

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 9/19/1996

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/16/1999

General Securities Principal Examination

Current Firm

THE INSTITUTE

CRD#: 127207 / SEC#: 801-67624

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

Colorado

Registered Investment Advisory firm - (4/3/2007 Terminated)

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Contact information

Main Address

9878 W. Belleview Ave. #2306, Denver, CO 80123

Mailing Address

Phone number

(303) 572-3500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE INSTITUTE 2A (6/23/2025)

Regulatory assets under management

Total Number of Accounts	1,848
AUM (Assets Under Management)	$ 1,154,643,475

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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Advisor Monitoring

Firm Stability Insights

James C. Marshal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James C Marshal's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSTITUTE FOR WEALTH ADVISORS, INC.

SPC

SIGMA FINANCIAL CORPORATION

LEGACY FINANCIAL SERVICES, INC.

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

SECURITIES SERVICE NETWORK, LLC

QUICK & REILLY, INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

THE INSTITUTE

State Registrations and Notice Filings

Exams

Series 65

Date: 8/12/2008

Series 63

Date: 4/15/1997

Series 7

Date: 1/20/1997

Series 52

Date: 9/19/1996

Series 24

Date: 8/16/1999

Current Firm

THE INSTITUTE

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE INSTITUTE

TRUST BUT VERIFY

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