Jacqueline M. Lakocy
CONTINUUM ADVISORY
Soquel, CA 95073
Some features on this profile are disabled
CRD#: 1062098
Professional summary
Jacqueline Marie Lakocy, CFP® is a registered financial advisor currently at CONTINUUM ADVISORY, LLC located in Soquel, California and OSAIC WEALTH, INC. located in Soquel, California.
Jacqueline is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Jacqueline has worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Continuum Advisors; investment related; 873 E State Street, Eagle, ID 83616; RIA; IAR; 2015; 90 hrs/month; 3 hrs during trading; provide financial planning and investment advice to clients, primarily focusing on fee based 2) Transitional Wealth Strategies; Investment Related; 4041 Soquel Dr Ste A #316, Soquel CA 95073; DBA; Principal; 2014; 110 hrs/month; 100 hrs during trading; provide financial planning and investment advice to clients 3) Insurance Sales: Investment Related; 4041 Soquel Dr Ste A1 #316, Soquel CA 95073; Insurance Sales; Agent; Insurance; 1985; 10 hrs/mo; 10 hrs/mo during trading; insurance, fixed and ltc fixed annuities, long term care 4) Bayview Hummingbird Hideaway; not investment related; 7420 Viewpoint Rd, Aptos, CA 95003; Airbnb; Host; 6-10 hrs/mo; 1-5 hrs/mo during trading; Host
CRS (Client Relationship Summary) - RIA
Click below to view Jacqueline Marie Lakocy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1993
Experience
Current
August 5, 2016 - Present
CONTINUUM ADVISORY, LLC
Office #1: 4041 Soquel Dr Ste A1 #316, Soquel, CA 95073RIA
CRD#: 283155
Soquel, CA
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 4041 Soquel Drive Suite A1 #316, Soquel, CA 95073RIA
BD
CRD#: 23131
Soquel, CA
Past
November 14, 2017 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Soquel, CA
Past
May 13, 2016 - November 17, 2017
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
SANTA CRUZ, CA
Past
May 13, 2016 - November 17, 2017
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
SANTA CRUZ, CA
Past
January 28, 2010 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
MILL VALLEY, CA
Past
September 4, 2009 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
MILL VALLEY, CA
Past
May 9, 2006 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
MILL VALLEY, CA
Past
April 7, 2004 - May 4, 2006
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
LAGUNA BEACH, CA
Past
April 22, 2002 - April 8, 2004
VERITRUST FINANCIAL, LLC
BD
CRD#: 106594
AUSTIN, TX
Past
April 1, 1991 - April 22, 2002
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Past
October 2, 1990 - April 11, 1991
BERMAN AND STICKEL INCORPORATED
BD
CRD#: 21297
SAN FRANCISCO, CA
Past
November 17, 1987 - September 26, 1990
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
May 14, 1987 - November 24, 1987
DURHAM SECURITIES CORPORATION
BD
CRD#: 16459
Past
August 26, 1982 - July 23, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CA
CONTINUUM ADVISORY, LLC
3 FINANCIAL GROUP | WEALTH MANAGEMENT ASSOCIATES OF COLORADO | WEALTH MANAGEMENT ASSOCIATES - DANVILLE, CA | WEALTH MANAGEMENT ASSOCIATES - BOZEMAN, MT | WEALTH MANAGEMENT ASSOCIATES | TRANSITIONAL WEALTH STRATEGIES | THOMANN FINANCIAL SERVICES | SUCCESSFUL EQUITY MANAGEMENT | RASSLER FINANCIAL | RANDALL FINANCIAL | PACIFIC FINANCIAL GROUP | NAST GROUP FINANCIAL | MOSAIC FINANCIAL GROUP | MCCARTIN FINANCIAL SERVICES | LENTINI FINANCIAL ADVISORY | KELLY FINANCIAL ADVISORS, LLC | HANOVER FINANCIAL GROUP | HANOVER FINANCIAL - NY, NY | HANOVER FINANCIAL - BOZEMAN, MT | CONTINUUM ADVISORY, LLC | CLARK STREET FINANCIAL | BODE FINANCIAL CONSULTING, LLC | ATHENABLE INVESTMENT STRATEGIES | AMERICAN FINANCIAL MANAGEMENT
CRD#: 283155 / SEC#: 801-107439
RIA
Registered Investment Advisory firm - (3/30/2016 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
California(8/5/2016)
RR
California(8/23/2024)
RR
Oregon(8/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CONTINUUM ADVISORY, LLC
3 FINANCIAL GROUP | WEALTH MANAGEMENT ASSOCIATES OF COLORADO | WEALTH MANAGEMENT ASSOCIATES - DANVILLE, CA | WEALTH MANAGEMENT ASSOCIATES - BOZEMAN, MT | WEALTH MANAGEMENT ASSOCIATES | TRANSITIONAL WEALTH STRATEGIES | THOMANN FINANCIAL SERVICES | SUCCESSFUL EQUITY MANAGEMENT | RASSLER FINANCIAL | RANDALL FINANCIAL | PACIFIC FINANCIAL GROUP | NAST GROUP FINANCIAL | MOSAIC FINANCIAL GROUP | MCCARTIN FINANCIAL SERVICES | LENTINI FINANCIAL ADVISORY | KELLY FINANCIAL ADVISORS, LLC | HANOVER FINANCIAL GROUP | HANOVER FINANCIAL - NY, NY | HANOVER FINANCIAL - BOZEMAN, MT | CONTINUUM ADVISORY, LLC | CLARK STREET FINANCIAL | BODE FINANCIAL CONSULTING, LLC | ATHENABLE INVESTMENT STRATEGIES | AMERICAN FINANCIAL MANAGEMENT
CRD#: 283155 / SEC#: 801-107439
RIA
Registered Investment Advisory firm - (3/30/2016 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
873 E. State Street, Eagle, ID 83616
Mailing Address
Phone number
(208) 417-1933
Established
Firm type
Fiscal year end
# of Employees
69
SEC notice filing (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,852 |
| AUM (Assets Under Management) | $ 1,417,081,752 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
