James T. Cavanaugh
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 Terrence Cavanaugh III, who also goes by James Terrence Cavanaugh, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 4 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2012 - January 17, 2017
BROWN ADVISORY
October 28, 2010 - April 9, 2012
BROWN ADVISORY
April 16, 1992 - August 23, 2010
BROWN ADVISORY CAVANAUGH, LLC
August 5, 1969 - October 16, 1990
ALEX. BROWN & SONS INCORPORATED
Primary Firm SEC Registration
BROWN ADVISORY
CRD#: 110181 / SEC#: 801-38826
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: 10/25/1961
Registered Representative ExaminationSeries 40
Date: 7/28/1969
Registered Principal ExaminationCurrent Firm
BROWN ADVISORY
CRD#: 110181 / SEC#: 801-38826
Contact information
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24,921 |
| AUM (Assets Under Management) | $ 121,936,354,796 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/21/2025 | ||
| 10/28/2024 | ||
| 01/24/2024 | ||
| 10/27/2022 |
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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