BROGAN FINANCIAL
Firm details
- Headquarters
- KNOXVILLE, Tennessee
- CRD number
- 133623
- Registered since
- May 13, 2008
- Website
- broganfinancial.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI56.75%
- Individuals41.63%
- Corporations / Businesses1.46%
- Charitable Organizations0.16%
- Services
- Portfolio Management for IndividualsEducational Seminars / Workshops
Firm profile
FINTRXOverview
Brogan Financial is an insurance-focused broker-dealer that provides portfolio management for individuals and small businesses and runs educational seminars and workshops. The firm is structured as a corporation, privately owned, and has been SEC-registered since 2008. Its client mix includes both individual/family and institutional relationships. Fee arrangements include percentage-of-AUM billing, hourly charges, and fixed fees. Brogan Financial does not describe itself as an ESG investor or a multi-state adviser, and it does not act as a pension consultant or related adviser.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds89%
- Exchange Traded Equities6%
- Cash & Cash Equivalents5%
Contacts
3 of 7Jason Surdyk
ParaplannerCRD 7822820
JAMES BROGAN
President and FounderCRD 2470219
SARAH SUTTON
Compliance PrincipalCRD 4151257
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 19Active vs passive
$237M in ETFs
24%
$57.5M
71%
$179M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| APTUS COLLARED INVESTMENT OPPORTUNITY ETF (ACIO) | Aptus Capital Advisors | Active | Options Trading | $81.7M | 1,945,963 | 34.50% |
Location
KNOXVILLE, TN
KNOX
Location
KNOXVILLE, TN
Headquartered in KNOXVILLE, TN, anchoring the Knoxville-Morristown-Sevierville, TN metro in the South.
- Metro area
- Knoxville-Morristown-Sevierville, TN
- Region
- South
- County
- KNOX
- Address
- 2160 Lakeside Centre Way
- Time zone
- CT (UTC-6)
- Office locations
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