JM
James E. Mcarthur
A.G. MORGAN FINANCIAL ADVISORS
MASSAPEQUA, NY 11758
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CRD#: 2797856
JM
Professional summary
James Edward Mcarthur was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James Edward Mcarthur is a registered financial advisor currently at A.G. MORGAN FINANCIAL ADVISORS, LLC located in Massapequa, New York.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. James has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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.
(1) Omni Diversified Fund, LLC. Private Placement Offering. 10% owner. 12 Hours devoted per month, 2 hours during market hours. (2) Omni Diversified Fund Manager, LLC. Private Placement managing company. 10% owner. 4 Hours devoted per month, 1 hour during market hours. (3)Omni diversified fund II, LLC. Private Placement Offering. 10% owner. 12 Hours devoted per month, 2 hours during market hours. (4) Omni Diversified Fund II Manager, LLC. Private Placement managing company. 10% owner. 4 Hours devoted per month, 1 hour during market hours. (5) Windsor Capital Fund, LLC. Private Placement, 10% owner. 10 hours devoted per month, 1 hour during market hours. (6) Windsor Capital Fund Manager, LLC. Private Placement managing company. 10% owner. 4 Hours devoted per month, 1 hour during market hours. (7) Windsor Capital Fund II, LLC. Private Placement, 10% owner. 10 hours devoted per month, 1 hour during market hours. (8) Windsor Capital Fund Manager II, LLC. Private Placement managing company. 10% owner. 4 Hours devoted per month, 1 hour during market hours. (9) Windsor Capital Fund III, LLC. Private Placement, 10% owner. 10 hours devoted per month, 1 hour during market hours. (10) Windsor Capital Fund Manager III, LLC. Private Placement managing company. 10% owner. 4 Hours devoted per month, 1 hour during market hours. (11) Wilshire Capital Fund, LLC and Wilshire Capital Fund Manager, LLC - Private Placement managing company. 90% owner. 2 Hours devoted per month, 0 hours during market hours. James McArthur: (1) A.G. Morgan Financial Advisors, LLC: Non-Variable Insurance, the sale and servicing of fixed annuity and fixed insurance products. 5% of time spent. (2) A.G. Morgan Financial Advisors, LLC: RIA. Securities Related. Start Date 01/05/2015. 200 hours devoted per month, 160 hours during market hours. (3) AGM Capital Fund I, LLC: Private Placement Offering. 10% Owner. 8 hours devoted per month, 2 hours during market hours. (4) AGM Capital Fund Manager, LLC: Private Placement Management Company. 10% Owner. 4 hour devoted per month, 1 hours during market hours. (5) AGM Capital Fund II, LLC: Private Placement Offering. 10% Owner. 12 hours devoted per month, 2 hours during market hours. (6) AGM Capital Fund Manager II, LLC: Private Placement Management Company. 10% Owner. 1 hour devoted per month, 0 hours during market hours. (7) RSC Capital, Inc.: Holding Company. 100% Owner. 1 hour devoted per month, 0 hours during market hours.
CRS (Client Relationship Summary) - RIA
Click below to view James Edward Mcarthur'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®
NoneExperience
Current
February 24, 2021 - Present
A.G. MORGAN FINANCIAL ADVISORS, LLC
Office #1: 5260 Merrick Road, Massapequa, NY 11758RIA
CRD#: 173292
MASSAPEQUA, NY
Past
April 1, 2021 - June 17, 2022
IBN FINANCIAL SERVICES, INC.
BD
CRD#: 42360
Massapequa, NY
Past
January 9, 2019 - September 25, 2020
MOMENTIX CAPITAL, INC.
BD
CRD#: 20130
Massapequa, NY
Past
June 27, 2016 - December 31, 2017
A.G. MORGAN FINANCIAL ADVISORS, LLC
RIA
CRD#: 173292
MASSAPEQUA, NY
Past
May 2, 2014 - February 25, 2016
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
April 21, 2014 - December 31, 2018
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
Massapequa, NY
Past
June 11, 2013 - April 28, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
MASSAPEQUA, NY
Past
October 19, 2011 - April 28, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
MASSAPEQUA, NY
Past
July 14, 2011 - October 18, 2011
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
MELVILLE, NY
Past
September 25, 2007 - February 2, 2010
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
MT. SINAI, NY
Past
June 15, 2007 - August 22, 2007
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
SMITHTOWN, NY
Past
April 12, 2004 - June 4, 2007
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
MELVILLE, NY
Past
May 15, 2002 - April 2, 2004
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 15, 2002 - April 2, 2004
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
August 29, 2000 - May 13, 2002
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
October 4, 1996 - August 16, 2000
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
AM
A.G. MORGAN FINANCIAL ADVISORS, LLC
A.G. MORGAN FINANCIAL ADVISORS, LLC
CRD#: 173292 / SEC#: 801-80731
RIA
Registered Investment Advisory firm - (1/5/2015 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.Highlighted states indicate IAR registrations
IAR
Connecticut(2/24/2021)
IAR
New York(5/21/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AM
A.G. MORGAN FINANCIAL ADVISORS, LLC
A.G. MORGAN FINANCIAL ADVISORS, LLC
CRD#: 173292 / SEC#: 801-80731
RIA
Registered Investment Advisory firm - (1/5/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5260 Merrick Road, Massapequa, NY 11758
Mailing Address
Phone number
(516) 798-1100
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,687 |
| AUM (Assets Under Management) | $ 174,564,291 |
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.
