Gregory J. Livingston

LIVINGSTON & ASSOCIATES, LTD.

EDWARDSVILLE, IL

Some features on this profile are disabled

CRD#: 4334110

Professional summary

Gregory Jay Livingston is a registered financial advisor currently at LIVINGSTON & ASSOCIATES, LTD. located in Edwardsville, Illinois.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Gregory has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 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 Gregory Jay Livingston'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®

None

Experience

Current

January 2, 2002 - Present

LIVINGSTON & ASSOCIATES, LTD.

RIA

CRD#: 122011

EDWARDSVILLE, IL

Past

June 28, 2001 - September 21, 2006

DESPAIN FINANCIAL CORPORATION

CRD#: 17360

COLLINSVILLE, IL

Past

March 12, 2001 - June 27, 2001

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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

Illinois
(1/2/2002)

IAR

Missouri
(11/9/2004)

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

State Security Law Exam

IAR

Series 65

Date: 7/26/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/15/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/9/2001

General Securities Representative Examination

Current Firm

LIVINGSTON & ASSOCIATES, LTD.

CRD#: 122011 / SEC#:

Illinois

Registered Investment Advisory firm - (11/10/2025 Terminated)

Missouri

Registered Investment Advisory firm - (6/9/2003 Approved)

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Wildwood, MO

Mailing Address

Phone number

(618) 659-9700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	44
AUM (Assets Under Management)	$ 19,000,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gregory J. Livingston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Jay Livingston's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIVINGSTON & ASSOCIATES, LTD.

DESPAIN FINANCIAL CORPORATION

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 65

Date: 7/26/2001

Series 63

Date: 3/15/2001

Series 7

Date: 3/9/2001

Current Firm

LIVINGSTON & ASSOCIATES, LTD.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LIVINGSTON & ASSOCIATES, LTD.

TRUST BUT VERIFY

Similar Advisors