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JL

James F. Liddington

VANGUARD ADVISERS
CHARLOTTE, NC 28262
Some features on this profile are disabled
CRD#: 4326825
JL

Professional summary

James Franklin Liddington, who also goes by James F. Liddington, James Liddington, Jim Liddington, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Charlotte, North Carolina and VANGUARD MARKETING CORPORATION 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 2001. James has worked at 12 firms and has passed the Series 65, Series 66, Series 52TO, SIE, Series 31, Series 7, Series 53, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James F. Liddington | James Liddington | Jim Liddington

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 Franklin Liddington'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

January 27, 2026 - Present

VANGUARD ADVISERS, INC.

Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262
RIA
CRD#: 106715
CHARLOTTE, NC
Current

January 27, 2026 - Present

VANGUARD MARKETING CORPORATION

Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262
BD
CRD#: 7452
CHARLOTTE, NC
Past

March 31, 2021 - October 23, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

July 2, 2020 - September 5, 2025

GLADSTONE WEALTH PARTNERS

RIA
CRD#: 250787
FORT MILL, SC
Past

January 30, 2018 - November 20, 2023

FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC

BD
CRD#: 170845
Fort Mill, SC
Past

August 30, 2017 - October 6, 2020

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

August 29, 2017 - October 23, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

July 6, 2015 - July 10, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
LATHAM, NY
Past

May 8, 2015 - July 10, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
LATHAM, NY
Past

June 7, 2011 - April 1, 2015

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
ALBANY, NY
Past

May 29, 2009 - November 24, 2009

HARRISDIRECT LLC

RIA
CRD#: 42159
ARLINGTON, VA
Past

March 23, 2007 - November 24, 2009

E*TRADE SECURITIES LLC

BD
CRD#: 29106
CHARLOTTE, NC
Past

February 16, 2006 - February 28, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
CHARLOTTE, NC
Past

March 8, 2002 - January 17, 2006

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

February 22, 2001 - August 30, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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".
VA
VANGUARD ADVISERS, INC.
VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.

CRD#: 106715 / SEC#: 801-49601

RIA
Registered Investment Advisory firm - (7/28/1995 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.
RR
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

RR
North Carolina
(1/27/2026)
IAR
North Carolina
(1/27/2026)
IAR
Texas
(1/27/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/2/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/28/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/15/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/6/2015
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/24/2011
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/18/2003
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

VA
VANGUARD ADVISERS, INC.
VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.

CRD#: 106715 / SEC#: 801-49601

RIA
Registered Investment Advisory firm - (7/28/1995 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
Phone number
(610) 669-1000
Established
Firm type
Fiscal year end
# of Employees
2,225

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

VANGUARD MODEL PORTFOLIOS (2/2/2026)
VANGUARD PERSONAL ADVISOR SELECT (1/2/2026)
VANGUARD DIGITAL ADVISOR AND VANGUARD PERSONAL ADVISOR (1/2/2026)
VANGUARD SITUATIONAL ADVISOR BROCHURE (1/2/2026)
STABLE VALUE (9/29/2025)
VANGUARD MANAGED ACCOUNT PROGRAM AND PERSONAL ONLINE ADVISOR (9/29/2025)

Regulatory assets under management

Total Number of Accounts698,843
AUM (Assets Under Management)$ 300,434,933,763

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/24/2025
Cover Page
Report
10/23/2024
Cover Page
Report
06/28/2023
Cover Page
Report

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

VANGUARD ADVISERS, INC.

CRD#: 106715Charlotte, NC 28262

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Contact information

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xxxxx@xxxx.xxx

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