James L. Liddy

ALVISTA WEALTH CONSULTING

Greenwood Village, CO

Some features on this profile are disabled

CRD#: 5034312

Professional summary

James Lawrence Liddy, CFA is a registered financial advisor currently at ALVISTA WEALTH CONSULTING, LLC located in Greenwood Village, Colorado.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. James has worked at 2 firms .

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.

OWNER OF JAMES LIDDY PHOTOGRAPHY, A NON INVESTMENT-RELATED, PART-TIME BUSINESS OFFERING A PORTFOLIO OF PHOTOGRAPHS FOR LICENSED USE BY BUSINESSES AND ORGANIZATIONS. THIS BUSINESS IS RUN FROM THE HOME ADDRESS AFTER SECURITIES TRADING HOURS AND REQUIRES ABOUT 10 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lawrence Liddy'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®

CFA

Chartered Financial Analyst

Experience

Current

January 23, 2012 - Present

ALVISTA WEALTH CONSULTING, LLC

RIA

CRD#: 159264

Greenwood Village, CO

Past

March 25, 2008 - November 23, 2011

NEW ENGLAND GUILD WEALTH ADVISORS, INC.

RIA

CRD#: 106400

HARTFORD, CT

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

Colorado
(10/18/2019)

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

Current Firm

ALVISTA WEALTH CONSULTING, LLC

CRD#: 159264 / SEC#:

Colorado

Registered Investment Advisory firm - (10/18/2019 Approved)

Connecticut

Registered Investment Advisory firm - (10/29/2019 Terminated)

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

Greenwood Village, CO

Mailing Address

Phone number

(860) 836-8221

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 20,064,405

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

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James L. Liddy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lawrence Liddy's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALVISTA WEALTH CONSULTING, LLC

NEW ENGLAND GUILD WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Current Firm

ALVISTA WEALTH CONSULTING, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALVISTA WEALTH CONSULTING, LLC

TRUST BUT VERIFY

Similar Advisors