Unclaimed Profile

James Wallace Woods

LIVINGSTON GROUP ASSET MANAGEMENT COMPANY·CHATTANOOGA, Tennessee

Series 7, Series 63, Series 6521 years registeredLIVINGSTON GROUP ASSET MANAGEMENT COMPANY

100 W. MLK BLVD. SUITE 300, CHATTANOOGA, TN 37402-2936CRD# 734272Firm CRD# 113364

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Wallace Woods · CHATTANOOGA, TN

Registration

CRD #734272 · LIVINGSTON GROUP ASSET MANAGEMENT COMPANY · 21 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: LIVINGSTON GROUP ASSET MANAGEMENT COMPANY

SOUTHPORT CAPITAL

Dec 2008 – May 2022

CHATTANOOGA, TN

OPPENHEIMER & CO. INC.

Oct 2004 – Aug 2008

ATLANTA, GA

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Series 65

Registration record

First registered · October 15, 2004

Years registered · 21

Disclosure History

2021Customer Dispute·Award / Judgment

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, limited to the records FINRA BrokerCheck displays, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

LIVINGSTON GROUP ASSET MANAGEMENT COMPANY

CRD 113364 · SEC 801-60356

AUM

$730M

Regulatory assets under management

Employees

3,003 client accounts

Services offered by LIVINGSTON GROUP ASSET MANAGEMENT COMPANY

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at LIVINGSTON GROUP ASSET MANAGEMENT COMPANY →

Introduction

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Frequently Asked Questions

What services does James Wallace Woods offer?

James Wallace Woods specializes in Financial Planning, Investment Management, Wealth Management.

What are James Wallace Woods's credentials?

James Wallace Woods is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Wallace Woods located?

James Wallace Woods is based in CHATTANOOGA, Tennessee, last registered with LIVINGSTON GROUP ASSET MANAGEMENT COMPANY.

How does James Wallace Woods charge for services?

James Wallace Woods's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is LIVINGSTON GROUP ASSET MANAGEMENT COMPANY?

LIVINGSTON GROUP ASSET MANAGEMENT COMPANY has approximately 19 employees and manages $730M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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