James M. Gangloff
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 Michael Gangloff was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 12 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2014 - December 31, 2016
JGA WEALTH MANAGEMENT, LLC
August 20, 2013 - June 24, 2014
INTEGRITY ALLIANCE, LLC.
January 31, 2011 - August 23, 2011
ALLIED BEACON PARTNERS, INC.
March 4, 2008 - December 16, 2008
ADVANCED EQUITIES, INC.
February 28, 2008 - December 16, 2008
ADVANCED EQUITIES, INC.
June 1, 2007 - August 22, 2007
CHICAGO INVESTMENT GROUP, LLC
February 6, 2007 - April 13, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
February 5, 2007 - April 13, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
January 19, 2006 - February 13, 2006
CHARLES SCHWAB & CO., INC.
October 25, 2005 - February 13, 2006
CHARLES SCHWAB & CO., INC.
July 29, 2004 - October 18, 2005
CONNERS & CO., INC.
February 7, 2002 - August 14, 2002
W&S BROKERAGE SERVICES, INC.
May 24, 2001 - June 15, 2001
ROBERT W. BAIRD & CO. INCORPORATED
May 24, 2001 - June 15, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 28, 1999 - October 19, 2000
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
JGA WEALTH MANAGEMENT, LLC
CRD#: 172678 / SEC#:
Contact information
Red Flags
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