James Brogan is a registered investment advisor at Brogan Financial, based in Knoxville, TN, with 21 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 746 clients with $580M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Fees are charged up to 2.00% annually based on the average daily balance of the portfolio, excluding cash, brokered CDs, and investment-grade bonds. Actual fees are negotiable.
Fee Estimator
Location
8351 E. Walker Springs Ln., Suite 101, Knoxville, TN, 37923
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is an independent life and health insurance agent with various non-affiliated insurance companies, operating under Brogan Financial LLC. He spends about 10-20% of his time on this activity.
Employment History
Current Registrations
Brogan Financial
State Registrations1 state
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
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