James W. Flanagan

STERLING MANOR FINANCIAL

Saratoga Springs, NY 12866

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CRD#: 5019556

Professional summary

James William Flanagan, who also goes by James W Flanagan, is a registered financial advisor currently at STERLING MANOR FINANCIAL, LLC located in Saratoga Springs, New York.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James W Flanagan

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.

INSURANCE SALES, START 2005, NON-INVESTMENT RELATED, 8% OF TIME DEVOTED TO ACTIVITY, SELL LIFE, LONG TERM CARE AND DISABILITY INSURANCE PRODUCTS THROUGH ASH BROKERAGE WITH VARIOUS COMPANIES. 6/2016 IAR of RIA, Sterling Manor Financial LLC., Saratoga Springs, NY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James William Flanagan's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 2, 2016 - Present

STERLING MANOR FINANCIAL, LLC

Office #1: 18 Division Street Suite 202, Saratoga Springs, NY 12866

RIA

CRD#: 284218

Saratoga Springs, NY

Past

May 4, 2021 - December 31, 2024

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

SARATOGA SPRINGS, NY

Past

February 16, 2010 - December 31, 2024

CADARET, GRANT & CO., INC.

CRD#: 10641

SARATOGA SPRINGS, NY

Past

October 12, 2005 - March 3, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ALBANY, NY

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".

STERLING MANOR FINANCIAL, LLC

CRD#: 284218 / SEC#: 801-107975

RIA

Registered Investment Advisory firm - (6/24/2016 Approved)

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

New York
(6/15/2021)

IAR

Texas
(9/2/2016)

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 66

Date: 11/3/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/11/2005

General Securities Representative Examination

Current Firm

STERLING MANOR FINANCIAL, LLC

CRD#: 284218 / SEC#: 801-107975

RIA

Registered Investment Advisory firm - (6/24/2016 Approved)

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Contact information

Main Address

18 Division Street Suite 202, Saratoga Springs, NY 12866

Mailing Address

Phone number

(518) 583-4040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-STERLING MANOR FINANCIAL, LLC (3/14/2025)

STERLING MANOR FINANCIAL, LLC WRAP FEE PROGRAM (3/14/2025)

Regulatory assets under management

Total Number of Accounts	949
AUM (Assets Under Management)	$ 171,200,000

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 W. Flanagan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James William Flanagan's CRS (Customer Relationship Summary).

Certified licenses

Experience

STERLING MANOR FINANCIAL, LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

STERLING MANOR FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/3/2005

SIE

Date: 10/1/2018

Series 7

Date: 10/11/2005

Current Firm

STERLING MANOR FINANCIAL, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STERLING MANOR FINANCIAL, LLC

TRUST BUT VERIFY

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