James W. Hogan
CETERA INVESTMENT ADVISERS LLC
DOWNERS GROVE, IL 60515
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CRD#: 2440938
Professional summary
James William Hogan, CFP®, who also goes by Jim Hogan, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Downers Grove, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in Downers Grove, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Hogan
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) NAME OF OTHER BUSINESS: TRI-TOWN YMCA
INVESTMENT RELATED: NO
ADDRESS: 105 W. MAPLE AVE. LOMBARD IL 60148
NATURE OF BUSINESS: CHILDCARE, SUMMER CAMPS, AND PROGRAMS
START DATE: 4/2010
APX # OF HOURS PER WEEK: 1
APX # OF HOURS DURING TRADING HOURS: 1
POSITION: TREASURER
DUTIES: BOARD OF DIRECTORS
2) NFP ORG-TREASURER SINCE 4/10:
3) NAME OF OTHER BUSINESS: HOGAN & COMPANY CPAS
INVESTMENT RELATED: NO
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: ACCOUNTING AND TAX PRACTICE
START DATE: 3/1987
APX # OF HOURS PER WEEK: VARIES
APX # OF HOURS DURING TRADING HOURS: VARIES
POSITION: OWNER
DUTIES: TAX PREPERATION AND ACCOUNTING SERVICES
4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 7/2017
APX # OF HOURS PER WEEK: 40
APX # OF HOURS DURING TRADING HOURS: 32.5
POSITION: AGENT
DUTIES: SELLING LIFE & HEALTH
5) NAME OF OTHER BUSINESS: CORNERSTONE ADVISERS LLC
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES
START DATE: 7/2015
APX # OF HOURS PER WEEK: VARIES
APX # OF HOURS DURING TRADING HOURS: VARIES
POSITION: PARTNER
DUTIES: DBA
6) NAME OF OTHER BUSINESS: CALUMET AREA INDUSTRIAL COMMISSION;
INVESTMENT RELATED: NO
ADDRESS: 1000 EAST 111TH ST 7TH FL CHICAGO IL 60628;
NATURE OF BUSINESS: NON-PROFIT;
START DATE: 5/2020;
POSITION/TITLE/RELATIONSHIP: CPA;
APX NUMBER OF HOURS PER WEEK: 5;
APX NUMBER OF HOURS DURING TRADING HOURS: 5;
BRIEF DESCRIPTION OF DUTIES: PROVIDE ACCOUNTING SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view James William Hogan'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®
CFP®
Start date: 1998
Experience
Current
March 16, 1998 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1431 Opus Place Suite 200, Downers Grove, IL 60515RIA
CRD#: 105644
DOWNERS GROVE, IL
Current
September 28, 1994 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 1431 Opus Place Suite 622, Downers Grove, IL 60515BD
CRD#: 10358
DOWNERS GROVE, IL
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(1/4/2018)
RR
Florida(1/2/2021)
RR
Illinois(9/28/1994)
IAR
Illinois(3/16/1998)
RR
Indiana(6/22/2018)
RR
Michigan(1/27/2017)
RR
Nevada(9/10/2003)
RR
North Carolina(3/23/2006)
RR
Ohio(1/2/2015)
RR
Oregon(1/6/2022)
RR
Texas(9/6/2019)
IAR
Texas(2/24/2023)
RR
Washington(9/22/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
