James Winfield Lumberg
Professional Summary
James Winfield Lumberg, who also goes by James W Lumberg, is a registered financial advisor currently at SOUTHCOL ADVISORS located in Naples, Florida. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 3 firms and has passed the Series 65 and Series 52 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James W Lumberg
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
SOUTHCOL ADVISORS | SOUTHCOL ADVISORS, LLC
Contact Information
Main Address
15910 Old 41 North Suite 220, Naples, FL 34110Phone Number
(239) 228-8747# of Employees
4SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
37AUM (Assets Under Management)
$208,665,788Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
SOUTHCOL ADVISORS | SOUTHCOL ADVISORS, LLC
State Registrations and Notice Filings
(6/10/2020)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view James Winfield Lumberg's CRS (Customer Relationship Summary).
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