Maureen B. James

APOLLON FINANCIAL

DOWNERS GROVE, IL 60515

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CRD#: 2969852

Professional summary

Maureen Bridget James, who also goes by Maureen Burke, Maureen Bridge James, is a registered financial advisor currently at APOLLON FINANCIAL, LLC located in Downers Grove, Illinois and LPL FINANCIAL LLC located in Downers Grove, Illinois.

Maureen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Maureen has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Aliases

Maureen Burke | Maureen Bridge James

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maureen Bridget James'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

October 12, 2022 - Present

APOLLON FINANCIAL, LLC

Office #1: 2001 Butterfield Rd Ste 170, Downers Grove, IL 60515

RIA

CRD#: 321217

DOWNERS GROVE, IL

Current

September 8, 2015 - Present

LPL FINANCIAL LLC

Office #1: 2001 Butterfield Rd Ste 1000, Downers Grove, IL 60515

RIA

CRD#: 6413

DOWNERS GROVE, IL

Past

April 11, 2025 - July 10, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

DOWNERS GROVE, IL

Past

November 2, 2021 - October 21, 2022

HIGHPOINT PLANNING PARTNERS

RIA

CRD#: 316636

Wheaton, IL

Past

November 9, 2016 - December 31, 2021

HIGHPOINT PLANNING PARTNERS

RIA

CRD#: 163768

Downers Grove, IL

Past

November 8, 2016 - February 27, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

DOWNERS GROVE, IL

Past

January 9, 2015 - August 21, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

OAK BROOK, IL

Past

September 26, 2012 - December 4, 2014

LPL FINANCIAL LLC

CRD#: 6413

NAPERVILLE, IL

Past

November 12, 1997 - February 10, 2000

HARRIS ASSOCIATES SECURITIES L.P.

CRD#: 6959

CHICAGO, 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".

APOLLON FINANCIAL, LLC

APOLLON FINANCIAL, LLC | FOXEN FINANCIAL AN AFFILIATE OF APOLLON FINANCIAL

CRD#: 321217 / SEC#: 801-125787

RIA

Registered Investment Advisory firm - (6/2/2022 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.

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

Arizona
(9/8/2015)

California
(9/8/2015)

Colorado
(9/8/2015)

Connecticut
(9/8/2015)

Florida
(9/8/2015)

Illinois
(9/8/2015)

IAR

Illinois
(10/12/2022)

Indiana
(9/8/2015)

Maine
(9/8/2015)

Maryland
(8/19/2025)

Massachusetts
(9/8/2015)

Michigan
(9/8/2015)

Minnesota
(9/8/2015)

Missouri
(9/8/2015)

Montana
(8/19/2025)

New Mexico
(9/8/2015)

North Carolina
(7/26/2024)

Ohio
(9/8/2015)

Oregon
(9/8/2015)

Pennsylvania
(9/8/2015)

Tennessee
(11/20/2024)

Texas
(9/8/2015)

Virginia
(9/8/2015)

Wisconsin
(9/8/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/23/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/22/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/25/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

APOLLON FINANCIAL, LLC

APOLLON FINANCIAL, LLC | FOXEN FINANCIAL AN AFFILIATE OF APOLLON FINANCIAL

CRD#: 321217 / SEC#: 801-125787

RIA

Registered Investment Advisory firm - (6/2/2022 Approved)

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Contact information

Main Address

111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464

Mailing Address

Phone number

(843) 579-0018

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APOLLON FINANCIAL ADV PART 2A DISCLOSURE BROCHURE (1/22/2026)

APOLLON FINANCIAL WRAP FEE BROCHURE (9/17/2025)

Regulatory assets under management

Total Number of Accounts	1,700
AUM (Assets Under Management)	$ 890,408,924

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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Advisor Monitoring

Firm Stability Insights

Maureen B. James

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maureen Bridget James's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

HIGHPOINT PLANNING PARTNERS

HIGHPOINT PLANNING PARTNERS

LPL FINANCIAL LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

HARRIS ASSOCIATES SECURITIES L.P.

Primary Firm SEC Registration

APOLLON FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/23/2015

Series 63

Date: 10/22/2012

SIE

Date: 10/1/2018

Series 7

Date: 9/25/2012

FINRA

Current Firm

APOLLON FINANCIAL, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

APOLLON FINANCIAL, LLC

TRUST BUT VERIFY

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