James E. Brogan

BROGAN FINANCIAL

KNOXVILLE, TN 37923

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CRD#: 2470219

Professional summary

James Edward Brogan is a registered financial advisor currently at BROGAN FINANCIAL located in Knoxville, Tennessee.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. James has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

MR. BROGAN IS ENGAGED AS AN INDEPEDENT LIFE & HEALTH INSURANCE AGENT WITH A VARIETY OF NON-AFFILIATED INSURANCE COMPANIES. THE INSURANCE BUSINESS OPERATES UNDER BROGAN FINANCIAL LLC. MR. BROGAN SPENDS APPROXIMATELY 20 HOURS PER MONTH DURING TRADING HOURS ON THIS OUTSIDE BUSINESS ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Brogan's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 14, 2005 - Present

BROGAN FINANCIAL

Office #1: 8351 E. Walker Springs Ln. Suite 101, Knoxville, TN 37923

RIA

CRD#: 133623

KNOXVILLE, TN

Past

August 31, 2001 - December 31, 2004

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

May 10, 1994 - December 31, 1996

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

BROGAN FINANCIAL

BROGAN FINANCIAL | PLANNING CONCEPTS, INC. | BROGAN FINANCIAL, INC.

CRD#: 133623 / SEC#: 801-69181

RIA

Registered Investment Advisory firm - (5/13/2008 Approved)

Tennessee

Registered Investment Advisory firm - (5/31/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Tennessee
(2/14/2005)

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: 2/11/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/30/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 8/30/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BROGAN FINANCIAL

BROGAN FINANCIAL | PLANNING CONCEPTS, INC. | BROGAN FINANCIAL, INC.

CRD#: 133623 / SEC#: 801-69181

RIA

Registered Investment Advisory firm - (5/13/2008 Approved)

Tennessee

Registered Investment Advisory firm - (5/31/2008 Terminated)

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Contact information

Main Address

2160 Lakeside Centre Way Suite 102, Knoxville, TN 37922

Mailing Address

Phone number

(865) 862-6800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROGAN FINANCIAL ADV PART 2A (5/1/2024)

Regulatory assets under management

Total Number of Accounts	1,883
AUM (Assets Under Management)	$ 444,206,370

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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James E. Brogan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Brogan's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROGAN FINANCIAL

THE O.N. EQUITY SALES COMPANY

PFS INVESTMENTS INC.

Primary Firm SEC Registration

BROGAN FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 2/11/2005

Series 63

Date: 8/30/2001

Series 6

Date: 8/30/2001

Current Firm

BROGAN FINANCIAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROGAN FINANCIAL

TRUST BUT VERIFY

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