James A. Mccollom

CORE ADVISORY GROUP

Charlotte, NC 28210

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CRD#: 3018906

Professional summary

James Anthony Mccollom is a registered financial advisor currently at CORE ADVISORY GROUP located in Charlotte, North Carolina and LPL FINANCIAL LLC located in Charlotte, North Carolina.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. James has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Anthony Mccollom'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 28, 2021 - Present

CORE ADVISORY GROUP

Office #1: 5960 Fairview Road Suite 100-a, Charlotte, NC 28210

RIA

CRD#: 306661

Charlotte, NC

Current

July 1, 2010 - Present

LPL FINANCIAL LLC

Office #1: 5960 Fairview Rd, Ste 104, Charlotte, NC 28210

RIA

CRD#: 6413

Charlotte, NC

Past

November 5, 2025 - December 12, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHARLOTTE, NC

Past

September 22, 2021 - October 28, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHARLOTTE, NC

Past

November 19, 2019 - July 6, 2021

INDEPENDENT ADVISOR ALLIANCE, LLC

RIA

CRD#: 168267

Charlotte, NC

Past

July 1, 2010 - October 8, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHARLOTTE, NC

Past

April 18, 2001 - July 6, 2010

EQUITY SERVICES, INC.

RIA

CRD#: 265

CHARLOTTE, NC

Past

March 8, 2001 - July 6, 2010

EQUITY SERVICES, INC.

CRD#: 265

CHARLOTTE, NC

Past

April 9, 1998 - March 8, 2001

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

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".

CORE ADVISORY GROUP

CRD#: 306661 / SEC#: 801-122934

RIA

Registered Investment Advisory firm - (1/4/2022 Approved)

North Carolina

Registered Investment Advisory firm - (2/24/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (2/23/2022 Terminated)

Texas

Registered Investment Advisory firm - (2/23/2022 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(6/4/2021)

North Carolina
(7/1/2010)

IAR

North Carolina
(7/28/2021)

South Carolina
(7/1/2010)

IAR

Texas
(7/28/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/6/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/14/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/8/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CORE ADVISORY GROUP

CRD#: 306661 / SEC#: 801-122934

RIA

Registered Investment Advisory firm - (1/4/2022 Approved)

North Carolina

Registered Investment Advisory firm - (2/24/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (2/23/2022 Terminated)

Texas

Registered Investment Advisory firm - (2/23/2022 Terminated)

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Contact information

Main Address

744 Arden Lane Suite 175, Rock Hill, SC 29732

Mailing Address

Phone number

(803) 324-5464

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,628
AUM (Assets Under Management)	$ 296,813,729

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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James A. Mccollom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Anthony Mccollom's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INDEPENDENT ADVISOR ALLIANCE, LLC

LPL FINANCIAL LLC

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

LUTHERAN BROTHERHOOD SECURITIES CORP.

Primary Firm SEC Registration

CORE ADVISORY GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 7/6/2000

Series 63

Date: 3/14/1998

SIE

Date: 10/1/2018

Series 6

Date: 4/8/1998

FINRA

Current Firm

CORE ADVISORY GROUP

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORE ADVISORY GROUP

TRUST BUT VERIFY

Contact information

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