James L. Fulton

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CRD#: 710326

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Lewis Fulton was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1980. James had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

NEW YORK LIFE. SALESMAN. SELL FIXED RATE ANNUITIES. DEVOTE 10HRS/MO. NO COMPENSATION AS OF YET. ESTABLISHED 04/2009.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 10, 2022 - January 23, 2025

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

KNOX, PA

Past

August 7, 2012 - December 31, 2021

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

SHIPPENVILLE, PA

Past

June 27, 2012 - January 23, 2025

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

RALEIGH, NC

Past

September 4, 2009 - June 27, 2012

BROKERSXPRESS LLC

RIA

CRD#: 127081

SHIPPENVILLE, PA

Past

September 3, 2009 - June 27, 2012

BROKERSXPRESS LLC

CRD#: 127081

SHIPPENVILLE, PA

Past

August 3, 2009 - September 3, 2009

IC ADVISORY SERVICES, INC.

RIA

CRD#: 140190

BEDMINSTER, NJ

Past

September 14, 2005 - September 26, 2005

HORIZON INVESTMENTS LLC

RIA

CRD#: 109552

COLUMBIA, SC

Past

September 29, 1995 - September 3, 2009

THE INVESTMENT CENTER, INC.

CRD#: 17839

SHIPPENVILLE, PA

Past

August 2, 1994 - September 14, 1995

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

June 26, 1980 - July 6, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, 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".

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA

Registered Investment Advisory firm - (7/26/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/2/2012 Terminated)

California

Registered Investment Advisory firm - (3/3/2012 Terminated)

Mississippi

Registered Investment Advisory firm - (2/2/2012 Terminated)

Nevada

Registered Investment Advisory firm - (3/16/2012 Terminated)

Ohio

Registered Investment Advisory firm - (2/2/2012 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 4/12/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/28/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/27/1995

General Securities Principal Examination

Current Firm

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA

Registered Investment Advisory firm - (7/26/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/2/2012 Terminated)

California

Registered Investment Advisory firm - (3/3/2012 Terminated)

Mississippi

Registered Investment Advisory firm - (2/2/2012 Terminated)

Nevada

Registered Investment Advisory firm - (3/16/2012 Terminated)

Ohio

Registered Investment Advisory firm - (2/2/2012 Terminated)

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Contact information

Main Address

7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617

Mailing Address

Phone number

(800) 440-0442

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MODERN CAPITAL ADVISORS ADV 2A (3/29/2024)

Regulatory assets under management

Total Number of Accounts	1,561
AUM (Assets Under Management)	$ 285,401,221

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 L. Fulton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BROKERSXPRESS LLC

BROKERSXPRESS LLC

IC ADVISORY SERVICES, INC.

HORIZON INVESTMENTS LLC

THE INVESTMENT CENTER, INC.

FIRST UNION CAPITAL MARKETS CORP.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

MODERN CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/12/1999

Series 63

Date: 5/28/1980

SIE

Date: 10/1/2018

Series 7

Date: 6/21/1980

Series 24

Date: 12/27/1995

Current Firm

MODERN CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MODERN CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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