James M. Liotta

PROMINENCE CAPITAL

EAGLE, ID 83616

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CRD#: 4493058

Professional summary

James Michael Liotta, AIF®, CFP®, CPWA® is a registered financial advisor currently at PROMINENCE CAPITAL located in Eagle, Idaho.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. James has worked at 4 firms and has passed the Series 65, Series 63, Series 31 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 James Michael Liotta'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2016

CPWA^®

Certified Private Wealth Advisor

Start date: 2018-03-05

Expire date: 2024-02-29

Experience

Current

January 18, 2013 - Present

PROMINENCE CAPITAL

Office #1: 3405 W. Bavaria Street Suite 105, Eagle, ID 83616

RIA

CRD#: 165595

EAGLE, ID

Past

December 6, 2005 - November 28, 2007

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

LOS ANGELES, CA

Past

December 5, 2005 - November 28, 2007

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

LOS ANGELES, CA

Past

April 2, 2004 - December 6, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LOS ANGELES, CA

Past

April 2, 2004 - December 6, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 29, 2002 - April 22, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 22, 2002 - April 22, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LOS ANGELES, CA

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

California
(1/18/2013)

IAR

Idaho
(10/30/2020)

IAR

Texas
(2/18/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/14/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/17/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 10/5/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/7/2002

General Securities Representative Examination

Current Firm

PROMINENCE CAPITAL

PROMINENCE CAPITAL | PROMINENCE CAPITAL GP LLC.

CRD#: 165595 / SEC#:

California

Registered Investment Advisory firm - (1/18/2013 Approved)

Idaho

Registered Investment Advisory firm - (10/30/2020 Approved)

Texas

Registered Investment Advisory firm - (2/10/2021 Conditional Restricted)

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Contact information

Main Address

3405 W. Bavaria Street Suite 105, Eagle, ID 83616

Mailing Address

3066 W. Chartwell Drive, Eagle, ID 83616

Phone number

(310) 433-5378

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	133
AUM (Assets Under Management)	$ 54,505,929

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.

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Advisor Monitoring

Firm Stability Insights

James M. Liotta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Liotta's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/2012

Series 63

Date: 4/17/2002

Series 31

Date: 10/5/2004

Series 7

Date: 3/7/2002

Current Firm

PROMINENCE CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROMINENCE CAPITAL

TRUST BUT VERIFY

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