James M. Agan
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.
James Michael Agan, CFP®, ChFC®, who also goes by Michael Agan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1997
Education
Capital University
Experience
January 6, 2024 - October 5, 2024
PINNACLE ADVISORS
July 10, 2019 - January 2, 2024
EDELMAN FINANCIAL ENGINES
November 2, 2018 - March 25, 2019
OSAIC WEALTH, INC.
November 2, 2018 - March 25, 2019
OSAIC WEALTH, INC.
May 8, 2018 - November 2, 2018
SIGNATOR INVESTORS, INC.
May 1, 2018 - November 2, 2018
SIGNATOR INVESTORS, INC.
November 16, 2016 - September 5, 2017
HORTER INVESTMENT MANAGEMENT, LLC
March 27, 2013 - October 6, 2016
CREATIVE PLANNING
November 13, 2012 - March 5, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
September 11, 2012 - March 5, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
June 14, 2011 - August 6, 2012
ALLIANZ LIFE FINANCIAL SERVICES, LLC
September 11, 2007 - February 2, 2011
EQUITABLE DISTRIBUTORS, LLC
December 5, 2006 - August 24, 2007
NATIONWIDE INVESTMENT ADVISORS, LLC
November 9, 2006 - December 5, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 22, 2006 - August 27, 2007
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 8, 2005 - July 27, 2006
1717 CAPITAL MANAGEMENT COMPANY
August 31, 2005 - July 27, 2006
1717 CAPITAL MANAGEMENT COMPANY
October 12, 2000 - September 2, 2005
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 17, 1999 - July 13, 2000
EMPOWER FINANCIAL SERVICES, INC.
April 25, 1995 - December 17, 1999
NPC SECURITIES, INC.
September 22, 1989 - April 28, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
PINNACLE ADVISORS
CRD#: 106817 / SEC#: 801-51715
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PINNACLE ADVISORS
CRD#: 106817 / SEC#: 801-51715
Contact information
SEC notice filing (15 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,513 |
| AUM (Assets Under Management) | $ 1,939,495,799 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2023 | ||
| 12/22/2022 |
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.
