James A. Sego

SEGO WEALTH MANAGEMENT

Collierville, TN 38017

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CRD#: 4824178

Professional summary

James Andrew Sego, CFP®, who also goes by James A. Sego, is a registered financial advisor currently at SEGO WEALTH MANAGEMENT, LLC located in Collierville, Tennessee.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. James has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James A. Sego

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) - RIA

Click below to view James Andrew Sego's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2018

Experience

Current

June 7, 2019 - Present

SEGO WEALTH MANAGEMENT, LLC

Office #1: 1121 Poplar View Lane N. Suite 1, Collierville, TN 38017

RIA

CRD#: 304193

Collierville, TN

Past

September 12, 2016 - July 16, 2019

FOUNDATIONS INVESTMENT ADVISORS LLC

RIA

CRD#: 175083

GERMANTOWN, TN

Past

May 5, 2010 - February 4, 2014

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

COLLIERVILLE, TN

Past

June 20, 2007 - December 31, 2009

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

COLLIERVILLE, TN

Past

July 26, 2004 - December 31, 2006

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

COLLIERVILLE, TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(1/21/2020)

IAR

Mississippi
(1/14/2020)

IAR

Tennessee
(6/7/2019)

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

State Security Law Exam

IAR

Series 65

Date: 9/9/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/21/2004

General Securities Representative Examination

Current Firm

SEGO WEALTH MANAGEMENT, LLC

CRD#: 304193 / SEC#:

Louisiana

Registered Investment Advisory firm - (1/21/2020 Approved)

Mississippi

Registered Investment Advisory firm - (1/14/2020 Approved)

Tennessee

Registered Investment Advisory firm - (6/6/2019 Approved)

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Contact information

Main Address

1121 Poplar View Lane N Suite 1, Collierville, TN 38017

Mailing Address

Phone number

(901) 457-2700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	72
AUM (Assets Under Management)	$ 14,345,893

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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Firm Stability Insights

James A. Sego

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Andrew Sego's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEGO WEALTH MANAGEMENT, LLC

FOUNDATIONS INVESTMENT ADVISORS LLC

THE O.N. EQUITY SALES COMPANY

THE O.N. EQUITY SALES COMPANY

THE O.N. EQUITY SALES COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 9/9/2016

Series 63

Date: 11/19/2004

Series 7

Date: 7/21/2004

Current Firm

SEGO WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SEGO WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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