James Liddington is a registered investment advisor, based in Charlotte, NC, with 22 years of industry experience.
Location
1030 Admiral Nelson Ct, Charlotte, NC, 28262
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
James provides compliance/supervision services through Gladstone Institutional Advisory, spending about 10-20% of his time on this. He also works as a registered representative and supervisory principal for LPL Financial and Gladstone Institutional Advisory, dedicating about half his time to each.
Employment History
Current Registrations
Vanguard Marketing CorporationBroker
Vanguard Advisers, INC.
Vanguard Marketing Corporation
Previous Registrations
LPL Financial LLC
Gladstone Wealth Partners
Financial Resources Group Investment Services, LLCBroker
LPL Financial LLC
LPL Financial LLCBroker
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Purshe Kaplan Sterling InvestmentsBroker
E*trade Capital Management, LLC
E*trade Securities LLCBroker
Banc of America Investment Services, INC.Broker
Putnam Retail Management Limited PartnershipBroker
Morgan Stanley Dw INC.Broker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.