John P. Maguire

MAGUIRE ASSET MANAGEMENT

OAK BROOK, IL 60523

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CRD#: 1074901

Professional summary

John Patrick Maguire is a registered financial advisor currently at MAGUIRE ASSET MANAGEMENT, LLC located in Oak Brook, Illinois.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. John has worked at 7 firms and has passed the Series 65, Series 63, Series 15, Series 7, Series 5, Series 3 and Series 8 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.

JOHN MAGUIRE IS A CERTIFIED DIVORCE FINANCIAL ANALYST. HE PROVIDES FINANCIAL ADVICE TO DIVORCING COUPLES AND THEIR ATTORNEYS. THIS IS LESS THAN 5% OF THE TOTAL BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Patrick Maguire'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®

None

Experience

Current

August 23, 2004 - Present

MAGUIRE ASSET MANAGEMENT, LLC

Office #1: 1000 Jorie Blvd, Ste 138, Oak Brook, IL 60523

RIA

CRD#: 132407

OAK BROOK, IL

Past

August 19, 2003 - June 18, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

CHICAGO, IL

Past

August 19, 2003 - June 18, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

October 12, 2001 - August 20, 2003

BANC OF AMERICA SECURITIES LLC

RIA

CRD#: 26091

CHICAGO, IL

Past

November 30, 2000 - August 20, 2003

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

May 16, 1994 - December 7, 2000

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

March 1, 1990 - May 17, 1994

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

February 12, 1985 - March 5, 1990

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

November 24, 1982 - March 4, 1985

GOLDMAN SACHS & CO. LLC

CRD#: 361

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(8/23/2004)

IAR

Pennsylvania
(2/28/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/17/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/23/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 15

Date: 5/12/1986

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 11/20/1982

General Securities Representative Examination

General Industry/Product Exam

Series 5

Date: 10/5/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 3

Date: 8/24/1982

National Commodity Futures Examination

Principal/Supervisory Exam

Series 8

Date: 1/26/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

MAGUIRE ASSET MANAGEMENT, LLC

MAGUIRE ASSET MANAGEMENT, LLC | RATIONALIS CAPITAL MANAGEMENT, LLC | RATIONALIS CAPITAL MANAGEMENT LLC | MAGUIRE CONSULTING

CRD#: 132407 / SEC#:

Illinois

Registered Investment Advisory firm - (8/23/2004 Approved)

North Carolina

Registered Investment Advisory firm - (11/25/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (2/28/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1000 Jorie Blvd, Ste 138, Oak Brook, IL 60523

Mailing Address

Phone number

(630) 654-8382

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	57
AUM (Assets Under Management)	$ 40,238,260

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Indiana	ERA - Withdrawn	1/3/2013

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.

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Firm Stability Insights

John P. Maguire

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Patrick Maguire's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA SECURITIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

KIDDER, PEABODY & CO. INCORPORATED

MORGAN STANLEY & CO. LLC

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/17/2001

Series 63

Date: 12/23/1982

Series 15

Date: 5/12/1986

Series 7

Date: 11/20/1982

Series 5

Date: 10/5/1982

Series 3

Date: 8/24/1982

Series 8

Date: 1/26/1999

Current Firm

MAGUIRE ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

MAGUIRE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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