James V. Rogan

FINANCIAL MANAGEMENT STRATEGIES

ZELIENOPLE, PA 16063

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CRD#: 1180646

Professional summary

James Vincent Rogan, who also goes by Jame VIncent Rogan, James Rogan, is a registered financial advisor currently at FINANCIAL MANAGEMENT STRATEGIES, INC. located in Zelienople, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Ellwood City, Pennsylvania.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jame Vincent Rogan | James Rogan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.NAME OF OTHER BUSINESS: FINANCIAL MANAGEMENT STRATEGIES, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 07/2010 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: PROVIDE ADVISORY SERVICES 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 07/2015 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE 3. DBA VISION WEALTH MANAGEMENT, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 07/2015 INVESTMENT ADVISOR, APX 10 HOURS PER WEEK, DURING TRADING HOURS, DBA FOR FINANCIAL SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Vincent Rogan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 31, 2015 - Present

FINANCIAL MANAGEMENT STRATEGIES, INC.

Office #1: 626 West New Castle St. Suite 102, Zelienople, PA 16063

RIA

CRD#: 120818

ZELIENOPLE, PA

Current

July 29, 2015 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Ellwood City, PA

Past

December 19, 2013 - July 31, 2015

CAPITAL ANALYSTS

RIA

CRD#: 162200

WEXFORD, PA

Past

April 7, 2011 - July 31, 2015

LINCOLN INVESTMENT

RIA

CRD#: 519

WEXFORD, PA

Past

August 2, 2010 - July 31, 2015

LINCOLN INVESTMENT

CRD#: 519

WEXFORD, PA

Past

December 23, 2009 - August 2, 2010

MM ASCEND LIFE INVESTOR SERVICES, LLC

RIA

CRD#: 36451

WEXFORD, PA

Past

December 23, 2009 - August 2, 2010

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

WEXFORD, PA

Past

March 16, 2005 - January 8, 2010

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

WEXFORD, PA

Past

July 28, 2004 - September 20, 2004

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

WEXFORD, PA

Past

July 28, 2004 - January 8, 2010

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WEXFORD, PA

Past

July 29, 2003 - August 4, 2004

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

PITTSBURG, PA

Past

March 5, 2003 - August 4, 2004

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

September 11, 1997 - March 4, 2003

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

February 23, 1990 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

Past

February 23, 1987 - November 20, 1989

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

April 9, 1984 - September 30, 1985

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

Past

April 9, 1984 - September 30, 1985

PRUCO SECURITIES, LLC.

CRD#: 5685

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FINANCIAL MANAGEMENT STRATEGIES, INC.

CRD#: 120818 / SEC#: 801-66641

RIA

Registered Investment Advisory firm - (5/17/2006 Approved)

Ohio

Registered Investment Advisory firm - (11/7/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(3/6/2018)

Florida
(7/30/2015)

IAR

Florida
(10/5/2015)

Georgia
(8/10/2015)

Montana
(9/16/2015)

Nevada
(11/24/2015)

IAR

Nevada
(1/12/2022)

New York
(8/3/2015)

North Carolina
(8/4/2015)

Ohio
(6/27/2022)

Pennsylvania
(7/30/2015)

IAR

Pennsylvania
(8/31/2015)

South Carolina
(7/30/2015)

Virginia
(1/24/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/11/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/18/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/13/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/18/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/16/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FINANCIAL MANAGEMENT STRATEGIES, INC.

CRD#: 120818 / SEC#: 801-66641

RIA

Registered Investment Advisory firm - (5/17/2006 Approved)

Ohio

Registered Investment Advisory firm - (11/7/2006 Terminated)

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Contact information

Main Address

9200 South Hills Blvd. Suite 310, Broadview Hts., OH 44147

Mailing Address

Phone number

(216) 642-1099

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 03252025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,776
AUM (Assets Under Management)	$ 619,530,659

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James V. Rogan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Vincent Rogan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CAPITAL ANALYSTS

LINCOLN INVESTMENT

LINCOLN INVESTMENT

MM ASCEND LIFE INVESTOR SERVICES, LLC

MM ASCEND LIFE INVESTOR SERVICES, LLC

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

VALIC FINANCIAL ADVISORS, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

CITISTREET EQUITIES LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

FINANCIAL MANAGEMENT STRATEGIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/11/2002

Series 63

Date: 3/18/1987

SIE

Date: 10/1/2018

Series 7

Date: 4/13/2002

Series 6

Date: 8/18/1983

Series 24

Date: 10/16/2003

FINRA

Current Firm

FINANCIAL MANAGEMENT STRATEGIES, INC.

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL MANAGEMENT STRATEGIES, INC.

TRUST BUT VERIFY

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