James A. Colley

JAMES A. COLLEY

Lake Placid, FL 33852

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CRD#: 3125013

Professional summary

James Arthur Colley, CFP® is a registered financial advisor currently at JAMES A. COLLEY, INC. located in Lake Placid, Florida.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 3 firms and has passed the Series 7 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 Arthur Colley's 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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

May 8, 2002 - Present

JAMES A. COLLEY, INC.

Office #1: 505 W. Interlake Blvd., Lake Placid, FL 33852

RIA

CRD#: 141794

Lake Placid, FL

Past

May 8, 2002 - December 31, 2008

JAMES A. COLLEY, INC.

RIA

CRD#: 141794

LAKE PLACID, FL

Past

November 6, 2000 - May 22, 2002

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

December 21, 1998 - November 13, 2000

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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
(5/8/2002)

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

General Industry/Product Exam

Series 7

Date: 10/20/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/18/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JAMES A. COLLEY, INC.

COLLEY, JAMES ARTHUR | JAMES A. COLLEY, INC. | D/B/A:COLLEY FINANCIAL SERVICES

CRD#: 141794 / SEC#:

Florida

Registered Investment Advisory firm - (5/8/2002 Approved)

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Contact information

Main Address

505 W. Interlake Blvd., Lake Placid, FL 33852

Mailing Address

Phone number

(863) 465-6473

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	70
AUM (Assets Under Management)	$ 28,778,138

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James A. Colley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arthur Colley's CRS (Customer Relationship Summary).

Certified licenses

Experience

JAMES A. COLLEY, INC.

JAMES A. COLLEY, INC.

INVESTACORP, INC.

AVANTAX INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 7

Date: 10/20/1999

Series 6

Date: 12/18/1998

Current Firm

JAMES A. COLLEY, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JAMES A. COLLEY, INC.

TRUST BUT VERIFY

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