James Aloysius Fagan
Professional Summary
James Aloysius Fagan, who also goes by James A Fagan, Jim Fagan, is a registered financial advisor currently at NW CAPITAL MARKETS INC. located in Bloomfield, New Jersey. James is registered as a RR (Registered Representative) and started their career in finance in 1972. James has worked at 9 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 7TO, Series 79TO, SIE, Series 50, Series 1, Series 24, Series 27 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James A Fagan, Jim Fagan
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
54 years in the financial services industry
Current & Past Employments
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Current Firm
NW CAPITAL MARKETS INC. | WINDSOR FINANCIAL GROUP/DE, INC.
Contact Information
Main Address
522 Broad Street, Bloomfield, NJ 07003Mailing Address
522 Broad Street, Bloomfield, NJ 07003Phone Number
(201) 656-0115Established
Delaware since 05/27/1986Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (12 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(9/28/2016)
(5/16/2017)
(5/12/1999)
(3/31/1999)
(2/13/2018)
(3/5/2010)
(2/14/2018)
(5/31/2017)
(2/9/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 50 — Municipal Advisor Representative Qualification Exam
Passed Jan 2016About the Series 50 examSeries 1 — Registered Representative Examination
Passed Jun 1972SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Aloysius Fagan's CRS (Customer Relationship Summary).
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