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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

JAMES FRANKLIN LIDDINGTON

Advisor at VANGUARD ADVISERS, INC.

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:5e9726b8-4725-db9b-7846-e20290ae5193

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: May 29, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: VANGUARD ADVISERS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 28, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S66
First exam: May 28, 2009
First registration: May 29, 2009
Dual registered: yes, broker-dealer
Other names: JAMES F. LIDDINGTON|JIM LIDDINGTON|JAMES LIDDINGTON
IAPD individual key: 4326825

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VANGUARD ADVISERS, INC.	Bd affiliated wealth	Jan 27, 2026	n/a	yes	CHARLOTTE, NC	Current employment
GLADSTONE WEALTH PARTNERS	Bd affiliated wealth	Jul 2, 2020	Sep 5, 2025	no	PALM BEACH GARDENS, FL\|FORT MILL, SC	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 30, 2017	Oct 23, 2025	no	FORT MILL, SC\|MATTHEWS, NC	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jul 6, 2015	Jul 10, 2017	no	Albany, NY	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	May 29, 2009	Nov 24, 2009	no	ARLINGTON, VA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	GLADSTONE WEALTH PARTNERS	Oct 23, 2025	Jul 2, 2020	-1,939	Firm change after gap	Ibd to RIA
GLADSTONE WEALTH PARTNERS	VANGUARD ADVISERS, INC.	Sep 5, 2025	Jan 27, 2026	144	Firm change	RIA to ibd
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	LPL FINANCIAL LLC	Jul 10, 2017	Aug 30, 2017	51	Firm change	Other
E*TRADE CAPITAL MANAGEMENT, LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Nov 24, 2009	Jul 6, 2015	2,050	Firm change after gap	Other

Relationships

Registered with (5)

→ VANGUARD ADVISERS, INC.Registered adviserregistration: current employment
Jan 27, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 30, 2017 to Oct 23, 2025factForm ADV
→ GLADSTONE WEALTH PARTNERSRegistered adviserregistration: previous registration
Jul 2, 2020 to Sep 5, 2025factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Jul 6, 2015 to Jul 10, 2017factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 29, 2009 to Nov 24, 2009factForm ADV

Dated events

Occurred
Oct 23, 2025
Advisor changed firm
James Franklin Liddington left Lpl Financial Llc for Gladstone Wealth Partners (registered 2020-07-02)
Form ADVobserved 4 days ago
Occurred
Sep 5, 2025
Advisor changed firm
James Franklin Liddington left Gladstone Wealth Partners for Vanguard Advisers, Inc. (registered 2026-01-27)
Form ADVobserved 4 days ago