James F. Brogan
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 Francis Brogan was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1968. James had worked at 5 firms and has passed the Series 66, Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2009 - January 3, 2012
WRP INVESTMENTS, INC.
February 20, 2004 - April 8, 2009
INVESTORS CAPITAL CORP.
February 5, 2004 - February 11, 2004
INVESTORS CAPITAL CORP.
October 3, 1984 - March 5, 2004
NEW ENGLAND SECURITIES
December 28, 1981 - October 26, 1982
MONARCH SECURITIES, INC.
October 7, 1968 - December 29, 1982
GUARDIAN INVESTOR SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 9/27/1968
Registered Representative ExaminationCurrent Firm
WRP INVESTMENTS, INC.
CRD#: 7365 / SEC#: 801-39365, 8-21374
Contact information
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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