JM
Firm Information
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Number of Advisors
2 advisors
Number of Clients
387 clients
Average Client Portfolio
$451K average
Assets Under Management
$174.6M
Fee Structure
Minimum Investment:$25K
Financial Plan Fee:$500 - $50,000
Hourly Rate:$150 - $500/hr
A.G. Morgan is compensated through fixed or hourly fees for financial planning/consulting, or a percentage of assets under management. Hourly rates range from $150 to $500 per hour, and fixed fees range from $500 to $50,000. Asset-based fees range from 0.50% to 3.50%. A minimum account size of $25,000 is required, but may be waived.
Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningInsurance PlanningFinancial Planning & CoachingEducation Planning
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Advisor Information
Office location
5260 Merrick Road, Massapequa, NY, 11758
Get directionsRegulatory History (16)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
October 2025Final
Regulatory
October 2025Final
Regulatory
October 2025Final
Customer Dispute
July 2025Pending
Customer Dispute
December 2024Pending
Customer Dispute
November 2024Pending
Customer Dispute
June 2024Pending
Customer Dispute
June 2024Pending
Customer Dispute
June 2024Pending
Customer Dispute
June 2024Pending
Customer Dispute
May 2024Pending
Customer Dispute
May 2024Award / Judgment
Customer Dispute
May 2024Pending
Customer Dispute
April 2024Award / Judgment
Employment Separation After Allegations
June 2022Civil
June 2022Pending
Other Business ActivitiesSells Insurance
James has ownership stakes in numerous private placement funds and management companies, dedicating a few hours per week to each. He also sells and services fixed annuity and fixed insurance products, spending about 5% of his time on this, and works nearly full-time as a Registered Investment Advisor.
Employment History
Current Registrations
A.G. Morgan Financial Advisors, LLC
February 2021 - Present · 4 yrs 11 mos
Previous Registrations
Ibn Financial Services, INC. Broker
April 2021 - June 2022 · 1 yr 2 mos
Traderfield Securities INC.Broker
January 2019 - September 2020 · 1 yr 8 mos
A.G. Morgan Financial Advisors, LLC
June 2016 - December 2017 · 1 yr 6 mos
American Portfolios Advisors, INC
May 2014 - February 2016 · 1 yr 9 mos
American Portfolios Financial Services, INC.Broker
April 2014 - December 2018 · 4 yrs 8 mos
LPL Financial LLC
June 2013 - April 2014 · 10 mos
LPL Financial LLC Broker
October 2011 - April 2014 · 2 yrs 6 mos
Park Avenue Securities LLC Broker
July 2011 - October 2011 · 3 mos
MML Investors Services, INC. Broker
September 2007 - February 2010 · 2 yrs 5 mos
Securities Service Network, INC.Broker
June 2007 - August 2007 · 2 mos
Pruco Securities, LLC. Broker
April 2004 - June 2007 · 3 yrs 2 mos
Metlife Securities INC.Broker
May 2002 - April 2004 · 1 yr 11 mos
Metropolitan Life Insurance CompanyBroker
May 2002 - April 2004 · 1 yr 11 mos
AXA Distributors, LLCBroker
August 2000 - May 2002 · 1 yr 9 mos
Pruco Securities Corporation Broker
October 1996 - August 2000 · 3 yrs 10 mos
State Registrations2 states
CTNY
Advisor
Exams
No exam information available for this advisor.