DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Planner24 years in industry

JAMES MICHAEL LIOTTA

Advisor at PROMINENCE CAPITAL

EAGLE, ID

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e7132fe7-bf78-5517-644a-bd38ed006fcc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 22, 2002 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: PROMINENCE CAPITAL
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 17, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Apr 17, 2002
First registration: Apr 22, 2002
Dual registered: no
IAPD individual key: 4493058

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
PROMINENCE CAPITAL	State registered	Jan 18, 2013	n/a	yes	EAGLE, ID	Current employment
WELLS FARGO INVESTMENTS, LLC	n/a	Dec 6, 2005	Nov 28, 2007	no	LOS ANGELES, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 2, 2004	Dec 6, 2005	no	LOS ANGELES, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 22, 2002	Apr 22, 2004	no	LOS ANGELES, CA	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
WELLS FARGO INVESTMENTS, LLC	PROMINENCE CAPITAL	Nov 28, 2007	Jan 18, 2013	1,878	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO INVESTMENTS, LLC	Dec 6, 2005	Dec 6, 2005	0	Firm change	Other
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 22, 2004	Apr 2, 2004	-20	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ PROMINENCE CAPITALRegistered adviserregistration: current employment
Jan 18, 2013 to presentfactForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Dec 6, 2005 to Nov 28, 2007factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 2, 2004 to Dec 6, 2005factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Apr 22, 2002 to Apr 22, 2004factForm ADV

Dated events

No dated event names this entity yet.