James B. Pigman

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CRD#: 4548275

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 Brian Pigman was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1999. James had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

August 19, 1999 - May 11, 2012

SPRENG CAPITAL MANAGEMENT, INC.

RIA

CRD#: 119902

BUCYRUS, OH

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".

SPRENG CAPITAL MANAGEMENT, INC.

SPRENG & PIGMAN FINANCIAL | SPRENG CAPITAL MANAGEMENT, INC. | SPRENG CAPITAL MANAGEMENT, INC | SPRENG & PIGMAN FINANCIAL ADVISORY GROUP, INC.

CRD#: 119902 / SEC#: 801-110082

RIA

Registered Investment Advisory firm - (3/15/2017 Approved)

Ohio

Registered Investment Advisory firm - (3/6/2018 Terminated)

Texas

Registered Investment Advisory firm - (3/6/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

Current Firm

SPRENG CAPITAL MANAGEMENT, INC.

SPRENG & PIGMAN FINANCIAL | SPRENG CAPITAL MANAGEMENT, INC. | SPRENG CAPITAL MANAGEMENT, INC | SPRENG & PIGMAN FINANCIAL ADVISORY GROUP, INC.

CRD#: 119902 / SEC#: 801-110082

RIA

Registered Investment Advisory firm - (3/15/2017 Approved)

Ohio

Registered Investment Advisory firm - (3/6/2018 Terminated)

Texas

Registered Investment Advisory firm - (3/6/2018 Terminated)

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Contact information

Main Address

201 South Sandusky Avenue, Bucyrus, OH 44820

Mailing Address

Box 47 201 South Sandusky Avenue, Bucyrus, OH 44820-0047

Phone number

(419) 563-0084

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPRENG ADV 2A MARCH 2025 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	1,650
AUM (Assets Under Management)	$ 268,545,336

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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James B. Pigman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SPRENG CAPITAL MANAGEMENT, INC.

Primary Firm SEC Registration

SPRENG CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Current Firm

SPRENG CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPRENG CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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