James Ley Quigley

Employer firm

Cwm, LLC CRD 155344

$50.6B regulatory AUM 248 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• SUB-ADVISORY SERVICES FOR OTHER INVESTMENT ADVISORY FIRMS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2007 → 01/2017
  Lpl Financial Llc (Formerly: Linsco/Private Ledger Corp.)
  Barrington, IL
• 03/2016 → Present
  Cwm, Llc
  Barrington, IL
• 01/2017 → 11/2023
  Cetera Advisor Networks, Llc
  El Segundo, CA
• 03/2007 → Present
  Barrington Wealth Management
  Barrington, IL

Previous Registrations

• 2007-03-16 → 2016-09-08
  Lpl Financial Llc
  Barrington, IL
  Fort Mill, SC
  Barriington, IL
• 2005-08-12 → 2007-03-19
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI

Other Businesses

NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/2017 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY AND LONG TERM CARE NAME OF OTHER BUSINESS: HOPE'S IN NATURE OF BUSINESS: HUMANITARIAN DEVELOPMENT START DATE: 11/2014 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER NAME OF OTHER BUSINESS: SPYGLASS INVESTMENT HOLDINGS, LLC NATURE OF BUSINESS: REAL ESTATE START DATE: 06/01/2026 POSITION/TITLE/RELATIONSHIP: Member APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: Purchase real estate

Exams

• S66 Uniform Combined State Law Examination
  2005-08-11
• S63 Uniform Securities Agent State Law Examination
  1991-10-21

Designations

• Certified Financial Planner

Other Names

• Jim Quigley
• James Ley Quigley