Unclaimed Profile

James Edward Mcarthur

A.G. MORGAN FINANCIAL ADVISORS, LLC·MASSAPEQUA, New York

SIE, Series 6, Series 7, Series 26, Series 63, Series 6513 years registeredA.G. MORGAN FINANCIAL ADVISORS, LLC

5260 MERRICK ROAD, MASSAPEQUA, NY 11758CRD# 2797856Firm CRD# 173292

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Edward Mcarthur · MASSAPEQUA, NY

Registration

CRD #2797856 · A.G. MORGAN FINANCIAL ADVISORS, LLC · 13 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: A.G. MORGAN FINANCIAL ADVISORS, LLC

A.G. MORGAN FINANCIAL ADVISORS, LLC

Feb 2021 – Dec 2025

MASSAPEQUA, NY

A.G. MORGAN FINANCIAL ADVISORS, LLC

Jun 2016 – Dec 2017

MASSAPEQUA, NY

AMERICAN PORTFOLIOS ADVISORS, INC

May 2014 – Feb 2016

HOLBROOK, NY

LPL FINANCIAL LLC

Jun 2013 – Apr 2014

MASSAPEQUA, NY

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 26

Series 63

Series 65

Registration record

First registered · June 11, 2013

Years registered · 13

Disclosure History

2026Civil·Pending

2026Customer Dispute·Pending

2026Regulatory·Final

2025Customer Dispute·Award / Judgment

2025Customer Dispute·Pending

2025Regulatory·Final

2024Customer Dispute·Award / Judgment

2024Customer Dispute·Pending

2022Civil·Pending

2022Employment Separation After Allegations

33 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

A.G. MORGAN FINANCIAL ADVISORS, LLC

CRD 173292 · SEC 801-80731

AUM

$175M

Regulatory assets under management

Employees

1,687 client accounts

Services offered by A.G. MORGAN FINANCIAL ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at A.G. MORGAN FINANCIAL ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does James Edward Mcarthur offer?

James Edward Mcarthur specializes in Financial Planning, Investment Management.

What are James Edward Mcarthur's credentials?

James Edward Mcarthur is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Edward Mcarthur located?

James Edward Mcarthur is based in MASSAPEQUA, New York, last registered with A.G. MORGAN FINANCIAL ADVISORS, LLC.

How does James Edward Mcarthur charge for services?

James Edward Mcarthur's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is A.G. MORGAN FINANCIAL ADVISORS, LLC?

A.G. MORGAN FINANCIAL ADVISORS, LLC has approximately 3 employees and manages $175M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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