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JB

James R. Brogan

WILLOW COVE INVESTMENT GROUP
WINNECONNE, WI 54986
Some features on this profile are disabled
CRD#: 1262111
JB
James Riley BroganWILLOW COVE INVESTMENT GROUP

Professional summary

James Riley Brogan, who also goes by Jim Brogan, is a registered financial professional currently at WILLOW COVE INVESTMENT GROUP, INC. located in Winneconne, Wisconsin.

James is registered as a RR (Registered Representative) and started their career in finance in 1984. James has worked at 8 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Aliases

Jim Brogan

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Riley Brogan'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

March 20, 2013 - Present

WILLOW COVE INVESTMENT GROUP, INC.

Office #1: 5887 T Bar Lane, Winneconne, WI 54986
BD
CRD#: 107824
WINNECONNE, WI
Past

October 28, 2004 - March 14, 2013

R.W. TOWT & ASSOCIATES

BD
CRD#: 128837
SAN DIEGO, CA
Past

November 30, 1998 - October 29, 2004

SENTRA SECURITIES CORPORATION

RIA
CRD#: 10249
SAN DIEGO, CA
Past

November 16, 1998 - October 29, 2004

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

February 12, 1991 - November 16, 1998

UNITED PACIFIC SECURITIES, INC.

BD
CRD#: 21986
CARLSBAD, CA
Past

September 30, 1989 - April 23, 1990

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

June 17, 1989 - September 30, 1989

NEWHARD, COOK & CO. INCORPORATED

BD
CRD#: 619
ST. LOUIS, MO
Past

January 28, 1986 - June 30, 1989

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

May 23, 1984 - January 31, 1986

LPL FINANCIAL LLC

BD
CRD#: 6413

State Registrations and Notice Filings

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

RR
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

RR
California
(3/20/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 3/19/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1984
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WC
WILLOW COVE INVESTMENT GROUP, INC.
WILLOW COVE INVESTMENT GROUP, INC.

CRD#: 107824 / SEC#: , 8-53062

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
5887 T Bar Lane, Winneconne, WI 54986
Mailing Address
5887 T Bar Lane, Winneconne, WI 54986
Phone number
(858) 404-0677
Established
California since 03/18/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
L M SQUARED INVESTMENTS, LLCSHAREHOLDER
FRAGER, MICHAEL RAYMONDOWNER1230622
LOSSE, MICHAEL WILLIAMPRES/CEO/COO/CCO1907236
RACH, LYNNE MARIEVP, FINOP & RP1723996

Disclosures

Regulatory Event1

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.

Company Information

WILLOW COVE INVESTMENT GROUP, INC.

CRD#: 107824Winneconne, WI 54986

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