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Maureen Bridget James

Investment Adviser Representative at APOLLON FINANCIAL, LLC

Downers Grove, ILCRD #2969852Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
16 yrs
States Registered
23 states
Exams Passed
4

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Maureen Bridget James has worked in the securities industry since 2010. They are registered to provide investment advisory services in 23 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 23 states
ArizonaCaliforniaColoradoConnecticutFloridaIllinoisIndianaMaineMarylandMassachusettsMichiganMinnesotaMissouriMontanaNew MexicoNorth CarolinaOhioOregonPennsylvaniaTennesseeTexasVirginiaWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 10/23/2015
Series 63
Uniform Securities Agent State Law Examination
Passed 10/22/2012
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/25/2012

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $250,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Apollon Financial, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

LPL FINANCIAL LLCCurrent
4/11/2025Downers Grove, IL
APOLLON FINANCIAL, LLCCurrent
10/12/2022Downers Grove, IL
HIGHPOINT PLANNING PARTNERS
11/2/202110/21/2022Wheaton, IL
HIGHPOINT PLANNING PARTNERS
11/9/201612/31/2021Downers Grove, IL
LPL FINANCIAL LLC
11/8/20162/27/2017Downers Grove, IL

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Maureen Bridget James has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Maureen Bridget James - Financial Advisor in Downers Grove, IL | AdvisorFinder