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James Michael Carrigan

Navy Federal Investment Services, LLC

Fountain Valley, CA

San Diego, CA

Huntington Beach, CA

CRD 6554225

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Employer firm

Navy Federal Investment Services, LLC CRD 138459

$2.10B regulatory AUM

Reported services (Item 5G)

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

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

Current Employers
Navy Federal Investment Services, Llc

1007 Electric Ave, Vienna, VA 22180 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-09-22
AZ RA APPROVED 2024-09-11
CA RA APPROVED 2021-02-18
  • TX RA
    APPROVED_RES
    Since 2025-09-22
  • AZ RA
    APPROVED
    Since 2024-09-11
  • CA RA
    APPROVED
    Since 2021-02-18

Branch Locations

18709 Brookhurst St. Ste. A5, Fountain Valley, CA 92708 • United States

9999 Willow Creek Road, San Diego, CA 92131 • United States

Huntington Beach, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities Llc Irvine CA 08/2015 02/2021
Navy Federal Brokerage Services, Llc Fountain Valley CA 02/2021 Present
Navy Federal Financial Group, Llc Fountain Valley CA 02/2021 Present
The Prudential Insurance Company Of America Irvine CA 08/2015 02/2021
  • 08/2015 → 02/2021
    Pruco Securities Llc
    Irvine, CA
  • 02/2021 → Present
    Navy Federal Brokerage Services, Llc
    Fountain Valley, CA
  • 02/2021 → Present
    Navy Federal Financial Group, Llc
    Fountain Valley, CA
  • 08/2015 → 02/2021
    The Prudential Insurance Company Of America
    Irvine, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-08-15
S63 Uniform Securities Agent State Law Examination 2015-11-09
  • S65 Uniform Investment Adviser Law Examination
    2016-08-15
  • S63 Uniform Securities Agent State Law Examination
    2015-11-09

View on SEC IAPD

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