James M. Johnston

ALPHACORE CAPITAL LLC

GLENDALE, CO 80246

Some features on this profile are disabled

CRD#: 601795

Professional summary

James Michael Johnston is a registered financial advisor currently at ALPHACORE CAPITAL LLC located in Glendale, Colorado.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. James has worked at 12 firms and has passed the Series 65, Series 63, Series 1 and Series 24 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.

JMJ CONSULTING: Not investment related. Located at 4500 Chery Creek Drive South Ste. 1070, Glendale CO 80246. Mr. Johnston is President since 7/19/76 and provides tax, insurance and estate planning for consulting fees and insurance commissions. Mr. Johnston may spend up to 40 hours a week on this business during business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Johnston'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

April 6, 2023 - Present

ALPHACORE CAPITAL LLC

Office #1: 4500 Cherry Creek Drive South, Glendale, CO 80246

CRD#: 15840

EL SEGUNDO, CA

Past

March 3, 1989 - January 20, 1990

THE GREAT-WEST LIFE ASSURANCE COMPANY

CRD#: 5927

ENGLEWOOD, CO

Past

September 11, 1986 - April 30, 1988

R.T. CALDWELL & CO., INCORPORATED

CRD#: 14080

Past

October 14, 1982 - April 10, 1986

LPL FINANCIAL LLC

CRD#: 6413

Past

February 18, 1982 - February 2, 1983

LEARNED & COMPANY, INC.

CRD#: 2529

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".

ALPHACORE CAPITAL LLC

ALPHACORE CAPITAL LLC | ALPHACORE WEALTH ADVISORY | ALPHACORE WEALTH ADVISORS

CRD#: 174346 / SEC#: 801-108468

RIA

Registered Investment Advisory firm - (9/28/2016 Approved)

California

Registered Investment Advisory firm - (11/9/2016 Terminated)

Illinois

Registered Investment Advisory firm - (9/28/2016 Terminated)

Indiana

Registered Investment Advisory firm - (10/13/2016 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).

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
(4/6/2023)

IAR

Oklahoma
(4/10/2023)

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: 12/28/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/18/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 5/29/1976

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/17/1983

General Securities Principal Examination

Current Firm

ALPHACORE CAPITAL LLC

ALPHACORE CAPITAL LLC | ALPHACORE WEALTH ADVISORY | ALPHACORE WEALTH ADVISORS

CRD#: 174346 / SEC#: 801-108468

RIA

Registered Investment Advisory firm - (9/28/2016 Approved)

California

Registered Investment Advisory firm - (11/9/2016 Terminated)

Illinois

Registered Investment Advisory firm - (9/28/2016 Terminated)

Indiana

Registered Investment Advisory firm - (10/13/2016 Terminated)

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

1200 Prospect St Suite 200, La Jolla, CA 92037

Mailing Address

Phone number

(858) 875-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALPHACORE FORM ADV PART 2-OCT. 2025 (10/13/2025)

Regulatory assets under management

Total Number of Accounts	6,249
AUM (Assets Under Management)	$ 6,060,926,747

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	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.

Similar Advisors

Craig Johlfs

LPL FINANCIAL LLC

IAR

Greenwood Village, CO

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

Lorie Jones

TANDEM FINANCIAL, LLC

IAR

GREENWOOD VILLAGE, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James M. Johnston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

RMIN SECURITIES, INC.

RMIN SECURITIES, INC.

CASCADE FINANCIAL MANAGEMENT, INC.

CASCADE INVESTMENT GROUP, INC.

JOHNSTON & ASSOCIATES INC

CASCADE INVESTMENT GROUP, INC.

KEOGLER, MORGAN & COMPANY, INC.

WALNUT STREET SECURITIES, INC.

THE GREAT-WEST LIFE ASSURANCE COMPANY

R.T. CALDWELL & CO., INCORPORATED

LPL FINANCIAL LLC

LEARNED & COMPANY, INC.

Primary Firm SEC Registration

ALPHACORE CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/1999

Series 63

Date: 4/18/1983

Series 1

Date: 5/29/1976

Series 24

Date: 1/17/1983

Current Firm

ALPHACORE CAPITAL LLC

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALPHACORE CAPITAL LLC

TRUST BUT VERIFY

Similar Advisors