James N. Corrigan

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CRD#: 2331741

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 Nicholas Corrigan JR, who also goes by Jimmy Corrigan Jr, James Nicholas Corrigan, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1993. James had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jimmy Corrigan Jr | James Nicholas Corrigan

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) FIRST NATIONAL TRUST COMPANY / FNB INVESTMENT ADVISORS, WEALTH ADVISOR, SOURCING NEW ACCOUNTS, NO INVESTMENT DECISIONS, DOES NOT EXECUTE TRANSACTIONS, DOES NOT RECOMMEND SPECIFIC PORTFOLIOS 2) FRANCISCAN FOUNDATION OF THE HOLY LAND, BOARD MEMBER AND MEMBER OF THE INVESTMENT COMMITTEE, NO VOTING RIGHTS, ALL FINAL DECISIONS ARE MADE BY CHAIRMAN OF THE COMMITTEE, DOES NOT MAKE INVESTMENT DECISIONS, PARTICIPATE IN THE EXECUTION OF TRANSACTIONS, OR RECOMMEND SPECIFIC INVESTMENT PORTFOLIOS

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

June 10, 2021 - June 17, 2022

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

BETHESDA, MD

Past

April 6, 2021 - June 17, 2022

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

Bethesda, MD

Past

November 26, 2018 - May 28, 2019

ROCKEFELLER FINANCIAL LLC

RIA

CRD#: 291361

Washington, DC

Past

November 26, 2018 - May 28, 2019

ROCKEFELLER FINANCIAL LLC

CRD#: 291361

NEW YORK, NY

Past

July 2, 2003 - December 22, 2016

BROWN ADVISORY SECURITIES, LLC

RIA

CRD#: 120736

CHEVY CHASE, MD

Past

June 23, 2003 - October 10, 2003

BROWN ADVISORY SECURITIES, LLC

RIA

CRD#: 120827

WASHINGTON, DC

Past

June 20, 2003 - December 22, 2016

BROWN ADVISORY SECURITIES, LLC

CRD#: 120736

CHEVY CHASE, MD

Past

February 11, 1995 - June 23, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

WASHINGTON, DC

Past

April 28, 1993 - June 23, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

CETERA INVESTMENT ADVISERS LLC

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.

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: 6/17/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/6/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/22/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/27/1993

General Securities Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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 N. Corrigan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

ROCKEFELLER FINANCIAL LLC

ROCKEFELLER FINANCIAL LLC

BROWN ADVISORY SECURITIES, LLC

BROWN ADVISORY SECURITIES, LLC

BROWN ADVISORY SECURITIES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/17/1993

Series 63

Date: 5/6/1993

Series 7TO

Date: 1/2/2023

SIE

Date: 12/22/2016

Series 7

Date: 4/27/1993

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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