Robert T. Engstrom

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CRD#: 1274078

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robert Thor Engstrom was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 11 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 10, 2019 - April 15, 2020

JMG FINANCIAL GROUP LTD

RIA

CRD#: 110302

Lake Bluff, IL

Past

November 14, 2016 - December 31, 2019

QUAESTOR INVESTMENT COUNSEL LLC

RIA

CRD#: 130175

Lake Forest, IL

Past

November 14, 2016 - December 31, 2019

CHARLES WM. FOSTER & ASSOCIATES, LTD.

RIA

CRD#: 124575

Lake Forest, IL

Past

September 11, 2009 - December 31, 2013

ENGSTROM & ASSOCIATES CPA LLC

RIA

CRD#: 151250

LAKE FOREST, IL

Past

April 16, 1990 - October 31, 1990

MALONE & ASSOCIATES, INC.

CRD#: 10412

Past

October 12, 1989 - May 11, 1990

D.R. DWYER & COMPANY

CRD#: 1490

Past

October 3, 1988 - April 13, 1989

REPUBLIC SECURITIES, INC.

CRD#: 15043

Past

January 15, 1988 - October 14, 1988

THE CHICAGO CORPORATION

CRD#: 1449

Past

July 14, 1987 - November 6, 1987

RIALCOR/SHATKIN SECURITIES CORP.

CRD#: 15930

Past

April 7, 1986 - July 21, 1987

PIM FINANCIAL SERVICES, INC.

CRD#: 10547

Past

June 20, 1984 - April 7, 1986

HAAS SECURITIES CORPORATION

CRD#: 2104

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".

JMG FINANCIAL GROUP LTD

CRD#: 110302 / SEC#: 801-23526

RIA

Registered Investment Advisory firm - (2/13/1985 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 7/10/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/8/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/17/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

Current Firm

JMG FINANCIAL GROUP LTD

CRD#: 110302 / SEC#: 801-23526

RIA

Registered Investment Advisory firm - (2/13/1985 Approved)

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Contact information

Main Address

2001 Butterfield Road, Suite 1400, Downers Grove, IL 60515

Mailing Address

Phone number

(630) 571-5252

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JMG BROCHURE SUPPLEMENT MARCH 2025 (3/19/2025)

Regulatory assets under management

Total Number of Accounts	5,763
AUM (Assets Under Management)	$ 6,366,272,925

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/11/2024	Cover Page	Report
11/20/2023	Cover Page	Report
02/20/2023	Cover Page	Report

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

Robert T. Engstrom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

QUAESTOR INVESTMENT COUNSEL LLC

CHARLES WM. FOSTER & ASSOCIATES, LTD.

ENGSTROM & ASSOCIATES CPA LLC

MALONE & ASSOCIATES, INC.

D.R. DWYER & COMPANY

REPUBLIC SECURITIES, INC.

THE CHICAGO CORPORATION

RIALCOR/SHATKIN SECURITIES CORP.

PIM FINANCIAL SERVICES, INC.

HAAS SECURITIES CORPORATION

Primary Firm SEC Registration

JMG FINANCIAL GROUP LTD

State Registrations and Notice Filings

Exams

Series 65

Date: 7/10/2009

Series 63

Date: 11/8/1988

Series 3

Date: 11/17/1988

Series 7

Date: 6/16/1984

Current Firm

JMG FINANCIAL GROUP LTD

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

JMG FINANCIAL GROUP LTD

TRUST BUT VERIFY

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