James K. Elliott
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 Kevin Elliott, CFP®, who also goes by Kevin Elliott, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2009
Experience
July 16, 2014 - March 20, 2017
COMMONWEALTH FINANCIAL ADVISORS, LLC
May 7, 2013 - January 13, 2017
SOUTHEAST INVESTMENTS, N.C., INC.
October 20, 2010 - May 26, 2011
COMMONWEALTH FINANCIAL ADVISORS, LLC
May 28, 2010 - May 24, 2011
SOUTHEAST INVESTMENTS, N.C., INC.
January 4, 2010 - May 28, 2010
PRIVATE CLIENT SERVICES, LLC
January 4, 2010 - May 28, 2010
PRIVATE CLIENT SERVICES, LLC
October 5, 2009 - January 6, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - January 6, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
June 12, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
June 12, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
June 1, 2007 - June 11, 2007
NATCITY INVESTMENTS, INC.
February 5, 2007 - June 11, 2007
NATCITY INVESTMENTS, INC.
July 6, 2005 - February 1, 2007
EDWARD JONES
May 25, 1995 - November 4, 1997
WOODBURY FINANCIAL SERVICES, INC.
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
COMMONWEALTH FINANCIAL ADVISORS, LLC
CRD#: 146396 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 28 |
| AUM (Assets Under Management) | $ 1,355,482 |
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.
