James Thomas Grogan

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2024-03-21
TX	RA	APPROVED_RES	2024-03-21

SC RA
APPROVED

Since 2024-03-21
TX RA
APPROVED_RES

Since 2024-03-21

Branch Locations

1040 Ewall St, Mount Pleasant, SC 29464 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Low Country Retirement	Mt Pleasant	SC	12/1996	Present
Cetera Advisors Llc	Denver	CO	01/2013	Present
Lowcountry Financial Group	Mt Pleasant	SC	08/2018	Present
Cetera Investment Advisers Llc	Schaumburg	IL	03/2024	Present

12/1996 → Present

Low Country Retirement

Mt Pleasant, SC
01/2013 → Present

Cetera Advisors Llc

Denver, CO
08/2018 → Present

Lowcountry Financial Group

Mt Pleasant, SC
03/2024 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2005-02-17 → 2007-07-18

Legacy Advisory Services, Inc.

Mt Pleasant, SC

Mt Pleasant, SC

Other Businesses

1.LOWCOUNTRY RETIREMENT SERVICES, FIXED INSURANCE AND SECURITIES BUSINESS, 50% OWNER, START 06/01/1995 2.EXCHANGE CLUB, CIVIC GROUP, RAISE FUNDS TO PREVENT CHILD ABUSE, BOARD MEMBER, LESS THAN 1HR/WK, START 1990 3.EWALL ST WEALTH MANAGEMENT LLC, DBA USED FOR MARKETING OF ADVISORY AND FINANCIAL PLANNING, SAME ADDRESS AS OFFICE, PRESIDENT, START 5/1/2013, 5 HRS/WK, COMPENSATION: FEES. 4. LOWCOUNTRY FINANCIAL GROUP, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 08/2018, PARTNER APX NUMBER OF HOURS PER WEEK: 25, DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-05-22
S63	Uniform Securities Agent State Law Examination	1986-03-04

S65 Uniform Investment Adviser Law Examination

1999-05-22
S63 Uniform Securities Agent State Law Examination

1986-03-04

View on SEC IAPD