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JL

James J. Livengood

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CRD#: 4159017
JL

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 J Livengood, who also goes by Jim Livengood, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2000. James had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Livengood

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 26, 2010 - May 4, 2011

MVP AMERICAN SECURITIES

BD
CRD#: 118286
CARMEL, IN
Past

March 4, 2010 - December 31, 2021

VANTAGE ADVISORS, LLC

RIA
CRD#: 126844
CARMEL, IN
Past

August 13, 2008 - September 14, 2009

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
CARMEL, IN
Past

August 13, 2008 - September 14, 2009

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
CARMEL, IN
Past

October 10, 2005 - June 3, 2008

CAPITAL FINANCIAL SERVICES, INC.

RIA
CRD#: 8408
CARMEL, IN
Past

October 10, 2005 - June 3, 2008

CAPITAL FINANCIAL SERVICES, INC.

BD
CRD#: 8408
CARMEL, IN
Past

November 20, 2003 - October 13, 2005

EMPIRE FINANCIAL GROUP, INC.

BD
CRD#: 28759
LONGWOOD, FL
Past

September 22, 2003 - November 20, 2003

FREEDOM FINANCIAL, INC.

BD
CRD#: 45850
OMAHA, NE
Past

May 28, 2003 - August 12, 2003

CARLTON CAPITAL INC.

BD
CRD#: 42533
NEW YORK, NY
Past

April 20, 2000 - December 19, 2000

SICOR SECURITIES INC

BD
CRD#: 16195
DAYTON, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/21/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/25/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/27/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/17/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MA
MVP AMERICAN SECURITIES
ASHTON GARNETT SECURITIES, LLC | VALUED FINANCIAL | UNITED NORTHWEST SECURITIES | MVP AMERICAN SECURITIES, LLC | MVP AMERICAN SECURITIES | DAE ENTERPRISES, LTD. | DAE ENTERPRISES, LTD

CRD#: 118286 / SEC#: , 8-53649

BD
Terminated by SEC on 04/16/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 02/19/2014
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MS MVP HOLDINGSMANAGING MEMBER
HADDOW, SHANNON MAUREENCHIEF COMPLIANCE OFFICER4186633
HARMAN, MICHAEL DENISFIN-OP4200831

Disclosures

Regulatory Event1

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.

Company Information

MVP AMERICAN SECURITIES

CRD#: 118286

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