JB
James J. Browne
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CRD#: 33228
JB
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 Joseph Browne, CFP® was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1974. James had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 24 and Series 40 exams.
Question & Answer
What are your service offerings?
Investment Planning
Estate Planning
Comprehensive Financial Planni...
Tax Planning
Retirement Planning
Are you a "fiduciary"?
No
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.
HARDY MACHINE, LLC, BM, BUS. OPERATIONS, NON INVEST RELATED, STARTED 2015, 1-2 HR/MO, HR/MO/VARIES, $0 COMP; SILVER THREADS, LLC, BM, BUS. OPERATIONS, NON INVEST RELATED, STARTED 2016, 1-2 HR/MO, HR/MO/TRADING VARIES, $0 COMP; A.C. ELECTRIC CORP & A.C. RE, BOD, ELEC MOTOR REPAIR, INVEST RELATED, STARTED 1994, 1-2 HR/MO, HR/MO/TRADING VARIES, DIR FEES QUARTERLY IF PROFIT; AMBASSADOR NURSING CARE, BOD, INVEST RELATED, 1-2 HR/MO, HR/MO/TRADING VARIES, DIR FEES QUARTERLY IF PROFIT; BRISTOL GRAPHICS, OBSERVER, ID CARD MANF, INVEST RELATED, STARTED 1998, 1 HR/MO, HR/MO/TRADING VARIES, DIR FEES QUARTERLY IF PROFIT; CRYSTEK CRYSTALS CO, BOD, PROD MANUF, INVEST RELATED, STARTED 1997, 1 HR/MO, HR/MO/TRADING VARIES, DIR FEES QUARTERLY IF PROFIT; LESKO ENTERPRISE, BOD, INJ MOLDING, INVEST RELATED, STARTED 2004, 1-2 HR/MO, HR/MO/TRADING VARIES, DIR FEES QUARTERLY IF PROFT; PRN HEALTH SERV, BOD, SENIOR CARE, INVEST REALTED, 1-2 HR/MO, HR/MO/TRADING VARIES, DIR FEES QUARTERLY IF PROFT; PRN AMBULANCE, BOD, MED TRANS, INVEST RELATED, 1-2 HR/MO, HR/MO/TRADING VARIES, DIR FEES QUARTERLY IF PROFIT; 3 RIVERS CO, BOD, RADIO STATION, INVEST RELATED, STARTED 1992, 1-2 HR/MO, HR/MO/TRADING VARIES, DIR FEES QUARTERLY IF PROFIT HiQes, BOD, ENGI SOL, INVEST RELATED, STARTED 2012, 1 HR/MO, HR/MO/TRADING VARIES, $0 COMP; MANCHESTER ACAD CHART, BOD, CHART SCHOOL, NON INVEST RELATED, STARTED 2014, 2 HR/MO, HR/MO/TRADING VARIES, NO ANNUAL COMP; PECA LABS, BOD, DEVP OF MED DEVICES, INVEST RELATED, STARTED 2018, 1-2 HR/MO, HR/MO/TRADING VARIES, $0 COMP;TRANSCHEM SERVICES,BOD,3RD PARTY FREIGHT COMP,INVEST RELATED,STARTED 2018,1-2 HR/MO,HR/MO/TRADING VARIES, $0 COMP;MID-SOUTH DRAPERY,MANUF OF DRAPERY,INVEST RELATED,STARTED 2018,1-2 HR/MO,HR/MO/TRADING VARIES,$0 COMP;OZAT USA,MM,INDUSTRIAL SOCKETS,INVESTMENT RELATED,STARTED 2019,3 HR/MO,0 HR/TRADING,COMP ONLY DIVD;EMB,BOD/MM,MANUF OF METAL PROD,INVESTMENT RELATED,STARTED 2019,2 HR/MO,0 HR/MO/TRADING,$0; TRUE INVESTMENTS 3, LLC, MEMBER, INVESTING IN RANGE OF NEW PORT MANAGERS, INVESTMENT RELATED, 1-2 HR/MO, 0 HR MO/TRADING, NO ANNUAL COMP; CITY DIFFERENT INVESTMENTS, CONSULTANT, INVESTMENT RELATED, STARTED 2022, 1/HR/MO, 0 HR/MO/TRADING, NO ANNUAL COMP.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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: 1985
Experience
Past
March 30, 2007 - December 31, 2022
ALLEGHENY INVESTMENTS, LTD.
RIA
CRD#: 7597
PITTSBURGH, PA
Past
February 19, 1991 - December 31, 2022
ALLEGHENY FINANCIAL GROUP LTD
RIA
CRD#: 104690
PITTSBURGH, PA
Past
May 1, 1978 - December 31, 2022
ALLEGHENY INVESTMENTS, LTD.
BD
CRD#: 7597
PITTSBURGH, PA
Past
April 24, 1975 - June 1, 1978
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Past
February 20, 1974 - October 29, 1975
FINANCIAL SERVICE CORPORATION OF AMERICA
BD
CRD#: 292
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".
ALLEGHENY INVESTMENTS, LTD.
ALLEGHENY INVESTMENTS | ALLEGHENY INVESTMENTS, LTD.
CRD#: 7597 / SEC#: 801-57662, 8-22183
RIA
Registered Investment Advisory firm - SEC (6/2/2000 Approved)BD
Terminated by SEC on 03/15/2025
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 2/11/1974
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 1/9/1978
Registered Principal ExaminationCurrent Firm
ALLEGHENY INVESTMENTS, LTD.
ALLEGHENY INVESTMENTS | ALLEGHENY INVESTMENTS, LTD.
CRD#: 7597 / SEC#: 801-57662, 8-22183
RIA
Registered Investment Advisory firm - SEC (6/2/2000 Approved)BD
Terminated by SEC on 03/15/2025
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Contact information
Main Address
Stone Quarry Crossing 811 Camp Horne Road, Suite 100, Pittsburgh, PA 15237
Mailing Address
Phone number
(412) 367-3880
Established
Pennsylvania since 09/01/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
20
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,990 |
| AUM (Assets Under Management) | $ 633,814,776 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/10/2025 | ||
| 10/22/2024 | ||
| 08/11/2023 | ||
| 10/08/2022 |
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.
