James W. Lumberg

SOUTHCOL ADVISORS

Naples, FL 34110

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CRD#: 2162416

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James W Lumberg

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 James Winfield Lumberg'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

June 10, 2020 - Present

SOUTHCOL ADVISORS

Office #1: 15910 Old 41 North Suite 220, Naples, FL 34110

RIA

CRD#: 308154

Naples, FL

Past

May 19, 2020 - May 28, 2020

ENVESTNET PMC

RIA

CRD#: 111694

CHICAGO, IL

Past

May 15, 1992 - July 19, 1993

NUVEEN SECURITIES, LLC

CRD#: 469

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".

SOUTHCOL ADVISORS

SOUTHCOL ADVISORS | SOUTHCOL ADVISORS, LLC

CRD#: 308154 / SEC#: 801-118783

RIA

Registered Investment Advisory firm - (5/26/2020 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

Florida
(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

State Security Law Exam

IAR

Series 65

Date: 5/19/2020

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 52

Date: 5/13/1992

Municipal Securities Representative Examination

Current Firm

SOUTHCOL ADVISORS

SOUTHCOL ADVISORS | SOUTHCOL ADVISORS, LLC

CRD#: 308154 / SEC#: 801-118783

RIA

Registered Investment Advisory firm - (5/26/2020 Approved)

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Contact information

Main Address

15910 Old 41 North Suite 220, Naples, FL 34110

Mailing Address

Phone number

(239) 228-8747

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOUTHCOL ADVISORS, LLC BROCHURE 2021 (1/31/2025)

Regulatory assets under management

Total Number of Accounts	34
AUM (Assets Under Management)	$ 165,335,684

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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James W. Lumberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Winfield Lumberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTHCOL ADVISORS

ENVESTNET PMC

NUVEEN SECURITIES, LLC

Primary Firm SEC Registration

SOUTHCOL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/19/2020

Series 52

Date: 5/13/1992

Current Firm

SOUTHCOL ADVISORS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOUTHCOL ADVISORS

TRUST BUT VERIFY

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