Vanessa C. Berkley

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CRD#: 7434971

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.

Vanessa Caroline Berkley was a registered financial professional .

Vanessa is a previously registered financial professional and started their career in finance in 2023. Vanessa had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

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.

BROGAN FINANCIAL INSURANCE PLANNING; INSURANCE SALES: LIFE, LONG TERM CARE; DISABILITY, FIXED ANNUITES; MARCH 2024; 20 HOURS OR LESS PER MONTH DURING TRADING HOURS

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

May 23, 2024 - July 31, 2024

BROGAN FINANCIAL

RIA

CRD#: 133623

KNOXVILLE, TN

Past

December 8, 2023 - March 25, 2024

FIRST HORIZON ADVISORS, INC.

RIA

CRD#: 17117

KNOXVILLE, TN

Past

March 4, 2023 - March 25, 2024

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

KNOXVILLE, TN

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".

BROGAN FINANCIAL

BROGAN FINANCIAL | PLANNING CONCEPTS, INC. | BROGAN FINANCIAL, INC.

CRD#: 133623 / SEC#: 801-69181

RIA

Registered Investment Advisory firm - (5/13/2008 Approved)

Tennessee

Registered Investment Advisory firm - (5/31/2008 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

State Security Law Exam

IAR

Series 66

Date: 12/8/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/4/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/1/2021

Securities Industry Essentials Examination

Current Firm

BROGAN FINANCIAL

BROGAN FINANCIAL | PLANNING CONCEPTS, INC. | BROGAN FINANCIAL, INC.

CRD#: 133623 / SEC#: 801-69181

RIA

Registered Investment Advisory firm - (5/13/2008 Approved)

Tennessee

Registered Investment Advisory firm - (5/31/2008 Terminated)

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Contact information

Main Address

2160 Lakeside Centre Way Suite 102, Knoxville, TN 37922

Mailing Address

Phone number

(865) 862-6800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROGAN FINANCIAL ADV PART 2A (5/1/2024)

Regulatory assets under management

Total Number of Accounts	1,883
AUM (Assets Under Management)	$ 444,206,370

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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Vanessa C. Berkley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROGAN FINANCIAL

FIRST HORIZON ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

Primary Firm SEC Registration

BROGAN FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 12/8/2023

Series 7TO

Date: 3/4/2023

SIE

Date: 7/1/2021

Current Firm

BROGAN FINANCIAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROGAN FINANCIAL

TRUST BUT VERIFY

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