Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Thomas Grogan has been in the financial services industry since 1984 and is currently registered with Cetera Investment Advisers LLC. James has worked with a variety of firms throughout his career, including Legacy Financial Services, Inc., Fortis Investors, Inc., and Equico Securities, Inc. James specializes in working with high net worth individuals, corporations or other businesses, charitable organizations, pension and profit-sharing plans, and individuals other than high net worth. James provides financial planning, portfolio management, and pension consulting.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
SC
03/21/2024 - Present
Cetera Investment Advisers LLC (MOUNT PLEASANT SC)
SC
07/31/1997 - 07/18/2007
LEGACY FINANCIAL SERVICES, INC. (MT. PLEASANT SC)
MN
01/26/1995 - 07/16/1997
FORTIS INVESTORS, INC. (OAKDALE MN)
NY
12/12/1984 - 01/30/1995
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
12/12/1984 - 01/30/1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
NA
06/08/1984 - 09/27/1984
FIRST INVESTORS CORPORATION
IA
Issued 05/22/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/04/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/28/2008
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 01/14/1998
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/06/2012
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 06/07/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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