James R. Brogan

WILLOW COVE INVESTMENT GROUP

Winneconne, WI 54986

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CRD#: 1262111

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.

Question & Answer

Are you a "fiduciary"?

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

CRD#: 107824

Winneconne, WI

Past

October 28, 2004 - March 14, 2013

R.W. TOWT & ASSOCIATES

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

CRD#: 10249

PHOENIX, AZ

Past

February 12, 1991 - November 16, 1998

UNITED PACIFIC SECURITIES, INC.

CRD#: 21986

CARLSBAD, CA

Past

September 30, 1989 - April 23, 1990

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

June 17, 1989 - September 30, 1989

NEWHARD, COOK & CO. INCORPORATED

CRD#: 619

ST. LOUIS, MO

Past

January 28, 1986 - June 30, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

Past

May 23, 1984 - January 31, 1986

LPL FINANCIAL LLC

CRD#: 6413

State Registrations and Notice Filings

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

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

California
(3/20/2013)

Exams

State Security Law Exam

Series 63

Date: 3/19/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WILLOW COVE INVESTMENT GROUP, INC.

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

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

Name	Position	CRD#
L M SQUARED INVESTMENTS, LLC	SHAREHOLDER
FRAGER, MICHAEL RAYMOND	OWNER	1230622
LOSSE, MICHAEL WILLIAM	PRES/CEO/COO/CCO	1907236
RACH, LYNNE MARIE	VP, FINOP & RP	1723996

Disclosures

Regulatory Event

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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Firm Stability Insights

James R. Brogan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Riley Brogan's CRS (Customer Relationship Summary).

Certified licenses

Experience

R.W. TOWT & ASSOCIATES

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

UNITED PACIFIC SECURITIES, INC.

ADVEST, INC.

NEWHARD, COOK & CO. INCORPORATED

MORGAN STANLEY DW INC.

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/19/1985

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/19/1984

FINRA

Current Firm

WILLOW COVE INVESTMENT GROUP, INC.

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

WILLOW COVE INVESTMENT GROUP, INC.

TRUST BUT VERIFY

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