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James Winfield Lumberg

Southcol Advisors

Naples, FL

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Current Employers
Southcol Advisors

15910 Old 41 North Suite 220, Naples, FL 34110 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2020-06-10
  • FL RA
    APPROVED
    Since 2020-06-10

Branch Locations

15910 Old 41 North Suite 220, Naples, FL 34110 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Envestnet Asset Management, Inc. Chicago IL 01/2000 03/2020
Envestnet Asset Management, Inc. Chicago IL 03/2020 05/2020
Southcol Advisors, Llc Naples FL 05/2020 Present
  • 01/2000 → 03/2020
    Envestnet Asset Management, Inc.
    Chicago, IL
  • 03/2020 → 05/2020
    Envestnet Asset Management, Inc.
    Chicago, IL
  • 05/2020 → Present
    Southcol Advisors, Llc
    Naples, FL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-05-19
  • S65 Uniform Investment Adviser Law Examination
    2020-05-19
Other Names
  • James W Lumberg

View on SEC IAPD

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TRUIST ADVISORY SERVICES, INC. · NAPLES, FL
TRUIST ADVISORY SERVICES, INC. · NAPLES, FL
WELLS FARGO CLEARING SERVICES, LLC · NAPLES, FL
J.P. MORGAN SECURITIES LLC · NAPLES, FL
SYNOVUS SECURITIES, INC. · NAPLES, FL
LPL FINANCIAL LLC · NAPLES, FL
CAPITAL WEALTH PLANNING, LLC · NAPLES, FL
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