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James Grogan

Cetera Investment Advisers LLC
42 Years of Experience
Mount Pleasant, SC
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

James Grogan is a registered investment advisor at Cetera Investment Advisers LLC, based in Mount Pleasant, SC, with 42 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

1040 Ewall St, Mount Pleasant, SC, 29464

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History

Regulatory History (1)
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Regulatory
June 1997
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is 50% owner of Lowcountry Retirement Services, a fixed insurance and securities business, since 1995. He is also president of Ewall St Wealth Management LLC and a partner in Lowcountry Financial Group, dedicating about 10-20% of his time to the latter.

Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2024 - Present · 2 yrs 7 mos
Cetera Advisors LLCBroker
July 2007 - Present · 19 yrs 3 mos
Previous Registrations
Cetera Advisors LLC
July 2007 - March 2024 · 16 yrs 8 mos
Legacy Advisory Services, INC.
February 2005 - July 2007 · 2 yrs 5 mos
Legacy Financial Services, INC.Broker
July 1997 - July 2007 · 10 yrs
Fortis Investors, INC.Broker
January 1995 - July 1997 · 2 yrs 6 mos
Equico Securities, INC.Broker
December 1984 - January 1995 · 10 yrs 1 mo
The Equitable Life Assurance Society of the United StatesBroker
December 1984 - January 1995 · 10 yrs 1 mo
First Investors CorporationBroker
June 1984 - September 1984 · 3 mos
State Registrations22 states
AZCACOFLGAILKYMAMDMEMONCNJNMNVNYRISCTXVAWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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