John R. Cadigan

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CRD#: 1321127

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Richard Cadigan was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1985. John had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 29, 2019 - March 6, 2024

TRUST ADVISORY GROUP LTD

RIA

CRD#: 106926

WOBURN, MA

Past

January 24, 2019 - March 6, 2024

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

READING, MA

Past

March 7, 2018 - June 18, 2018

55IP

RIA

CRD#: 286620

Boston, MA

Past

October 1, 2014 - August 1, 2017

PROVASI CAPITAL PARTNERS LP

CRD#: 119539

DALLAS, TX

Past

July 24, 2013 - October 10, 2014

ARROW INVESTMENT ADVISORS, LLC

RIA

CRD#: 139652

LAUREL, MD

Past

June 7, 2013 - October 15, 2014

ARCHER DISTRIBUTORS, LLC

CRD#: 158961

LAUREL, MD

Past

September 6, 2011 - March 25, 2013

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

GARDEN CITY, NY

Past

October 26, 2010 - August 19, 2011

GUGGENHEIM INVESTMENTS

RIA

CRD#: 105477

NEW YORK, NY

Past

February 23, 2009 - October 28, 2010

RYDEX ADVISORY SERVICES, LLC

RIA

CRD#: 132735

ROCKVILLE, MD

Past

January 12, 2000 - August 19, 2011

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

ROCKVILLE, MD

Past

February 2, 1998 - September 10, 1999

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

January 2, 1989 - January 30, 1998

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

June 10, 1987 - November 5, 1987

J.P. MORGAN SECURITIES LLC

CRD#: 79

Past

July 11, 1986 - June 12, 1987

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

Past

September 4, 1985 - July 11, 1986

FIDELITY DISTRIBUTORS CORPORATION

CRD#: 6848

Past

April 26, 1985 - August 1, 1985

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

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".

TRUST ADVISORY GROUP LTD

CRD#: 106926 / SEC#: 801-46919

RIA

Registered Investment Advisory firm - (7/25/1994 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/19/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/7/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/31/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/22/2006

General Securities Principal Examination

Current Firm

TRUST ADVISORY GROUP LTD

CRD#: 106926 / SEC#: 801-46919

RIA

Registered Investment Advisory firm - (7/25/1994 Approved)

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Contact information

Main Address

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243

Mailing Address

Phone number

(800) 292-2411

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAG ADV2A 072825 (7/29/2025)

Regulatory assets under management

Total Number of Accounts	1,720
AUM (Assets Under Management)	$ 494,407,359

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

John R. Cadigan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AGES FINANCIAL SERVICES, LTD.

55IP

PROVASI CAPITAL PARTNERS LP

ARROW INVESTMENT ADVISORS, LLC

ARCHER DISTRIBUTORS, LLC

RAFFERTY CAPITAL MARKETS, LLC

GUGGENHEIM INVESTMENTS

RYDEX ADVISORY SERVICES, LLC

GUGGENHEIM DISTRIBUTORS, LLC

BOFA DISTRIBUTORS, INC.

IFMG SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS CORPORATION

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

TRUST ADVISORY GROUP LTD

State Registrations and Notice Filings

Exams

Series 65

Date: 2/19/2009

Series 63

Date: 11/7/1985

SIE

Date: 8/1/2017

Series 7

Date: 7/19/1986

Series 6

Date: 1/31/1985

Series 24

Date: 11/22/2006

Current Firm

TRUST ADVISORY GROUP LTD

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRUST ADVISORY GROUP LTD

TRUST BUT VERIFY

Contact information

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