Robert T. Engstrom
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2019 - April 15, 2020
JMG FINANCIAL GROUP LTD
November 14, 2016 - December 31, 2019
QUAESTOR INVESTMENT COUNSEL LLC
November 14, 2016 - December 31, 2019
CHARLES WM. FOSTER & ASSOCIATES, LTD.
September 11, 2009 - December 31, 2013
ENGSTROM & ASSOCIATES CPA LLC
April 16, 1990 - October 31, 1990
MALONE & ASSOCIATES, INC.
October 12, 1989 - May 11, 1990
D.R. DWYER & COMPANY
October 3, 1988 - April 13, 1989
REPUBLIC SECURITIES, INC.
January 15, 1988 - October 14, 1988
THE CHICAGO CORPORATION
July 14, 1987 - November 6, 1987
RIALCOR/SHATKIN SECURITIES CORP.
April 7, 1986 - July 21, 1987
PIM FINANCIAL SERVICES, INC.
June 20, 1984 - April 7, 1986
HAAS SECURITIES CORPORATION
Primary Firm SEC Registration
JMG FINANCIAL GROUP LTD
CRD#: 110302 / SEC#: 801-23526
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
JMG FINANCIAL GROUP LTD
CRD#: 110302 / SEC#: 801-23526
Contact information
SEC notice filing (37 States and Territories)
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 |
|---|---|---|
| 01/28/2026 | ||
| 10/11/2024 | ||
| 11/20/2023 | ||
| 02/20/2023 |
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.
