JG
James T. Grogan
CETERA INVESTMENT ADVISERS LLC
MOUNT PLEASANT, SC 29464
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CRD#: 1270775
JG
Professional summary
James Thomas Grogan is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mount Pleasant, South Carolina and CETERA ADVISORS LLC located in Mount Pleasant, South Carolina.
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 8 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 6, Series 51 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.LOWCOUNTRY RETIREMENT SERVICES, FIXED INSURANCE AND SECURITIES BUSINESS, 50% OWNER, START 06/01/1995 2.EXCHANGE CLUB, CIVIC GROUP, RAISE FUNDS TO PREVENT CHILD ABUSE, BOARD MEMBER, LESS THAN 1HR/WK, START 1990 3.EWALL ST WEALTH MANAGEMENT LLC, DBA USED FOR MARKETING OF ADVISORY AND FINANCIAL PLANNING, SAME ADDRESS AS OFFICE, PRESIDENT, START 5/1/2013, 5 HRS/WK, COMPENSATION: FEES. 4. LOWCOUNTRY FINANCIAL GROUP, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 08/2018, PARTNER APX NUMBER OF HOURS PER WEEK: 25, DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view James Thomas Grogan's 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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1040 Ewall St, Mount Pleasant, SC 29464RIA
CRD#: 105644
MOUNT PLEASANT, SC
Current
July 18, 2007 - Present
CETERA ADVISORS LLC
Office #1: 1040 Ewall St, Mount Pleasant, SC 29464BD
CRD#: 10299
Mount Pleasant, SC
Past
July 24, 2007 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
MT PLEASANT, SC
Past
February 17, 2005 - July 18, 2007
LEGACY ADVISORY SERVICES, INC.
RIA
CRD#: 111027
MT PLEASANT, SC
Past
July 31, 1997 - July 18, 2007
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
MT. PLEASANT, SC
Past
January 26, 1995 - July 16, 1997
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
December 12, 1984 - January 30, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
December 12, 1984 - January 30, 1995
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
June 8, 1984 - September 27, 1984
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.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
Arizona(1/4/2008)
RR
California(10/30/2007)
RR
Colorado(2/15/2018)
RR
Florida(7/18/2007)
RR
Georgia(7/18/2007)
RR
Illinois(1/2/2009)
RR
Kentucky(7/18/2007)
RR
Maine(8/14/2012)
RR
Maryland(3/25/2011)
RR
Massachusetts(9/4/2008)
RR
Missouri(11/13/2025)
RR
Nevada(1/11/2008)
RR
New Jersey(7/18/2007)
RR
New Mexico(9/11/2017)
RR
New York(7/30/2007)
RR
North Carolina(7/19/2007)
RR
Rhode Island(2/7/2025)
RR
South Carolina(7/18/2007)
IAR
South Carolina(3/21/2024)
RR
Texas(1/14/2010)
IAR
Texas(3/21/2024)
RR
Virginia(7/18/2007)
RR
Washington(10/13/2020)
RR
Wisconsin(2/15/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 8/6/2012
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
