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Terence William Brogan

Brogan Asset Management, LLC

Wynnewood, PA

CRD 3162331

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Employer firm

Brogan Asset Management, LLC CRD 336800

$500.0K regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)

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

Current Employers
Brogan Asset Management, Llc

Wynnewood, PA • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2025-12-03
  • PA RA
    APPROVED
    Since 2025-12-03

Branch Locations

Wynnewood, PA • 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
Wellington Shields & Co., Llc New York NY 11/2009 07/2025
Brogan Asset Management, Llc. Wynnewood PA 10/2025 Present
Brogan Group Equity Research Reading MA 01/2002 07/2025
Previous Registrations
  • 2010-03-09 → 2025-07-01
    Wellington Shields & Co., Llc
    New York, NY
    Boston, MA
    Reading, MA
  • 2004-04-22 → 2010-12-31
    H. G. Wellington & Co., Inc.
    Boston, MA
    Boston, MA
    New York, NY
    New York, NY
    Boston, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-11-26
S63 Uniform Securities Agent State Law Examination 1999-01-25
  • S65 Uniform Investment Adviser Law Examination
    2002-11-26
  • S63 Uniform Securities Agent State Law Examination
    1999-01-25
Other Names
  • Terry Brogan
  • Terence William Brogan

View on SEC IAPD

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