Jeffrey P. Wilcock

SEROS FINANCIAL

Tempe, AZ 85282

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CRD#: 2034946

Professional summary

Jeffrey Peterson Wilcock, who also goes by Jeff Wilcock, is a registered financial advisor currently at SEROS FINANCIAL, LLC located in Tempe, Arizona and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Tempe, Arizona.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Jeffrey has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff Wilcock

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.) SEROS FINANCIAL LLC - IAR - REGISTERED INVESTMENT ADVISOR - TEMPE, AZ - SINCE 07/2013 - INVESTMENT RELATED 2.) WILCOCK FINANCIAL LLC - MEMBER - NON-VARIABLE INSURANCE - TEMPE, AZ - SINCE 01/2013 - INVESTMENT RELATED 3.) SEROS FINANCIAL - FINANCIAL ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - TEMPE, AZ - SINCE 08/2022 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Peterson Wilcock's CRS (Customer Relationship Summary).

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

March 11, 2013 - Present

SEROS FINANCIAL, LLC

Office #1: 2141 East Broadway Rd. Suite 220, Tempe, AZ 85282

RIA

CRD#: 166808

Tempe, AZ

Current

June 28, 2013 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 2141 E Broadway Rd Ste 220, Tempe, AZ 85282

RIA

CRD#: 20804

Tempe, AZ

Past

June 23, 2009 - July 1, 2013

FFEC WEALTH PARTNERS LLC

RIA

CRD#: 16507

TEMPE, AZ

Past

June 10, 2009 - July 1, 2013

FFEC WEALTH PARTNERS LLC

CRD#: 16507

TEMPE, AZ

Past

October 31, 2005 - June 15, 2009

OSAIC SERVICES, INC.

CRD#: 133763

MESA, AZ

Past

May 8, 2003 - December 31, 2012

ALLIANCE FINANCIAL GROUP, INC.

RIA

CRD#: 114169

MESA, AZ

Past

January 9, 1995 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

October 25, 1993 - January 18, 1995

ASSOCIATED SECURITIES CORP.

CRD#: 12969

BOSTON, MA

Past

March 13, 1990 - October 29, 1993

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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".

SEROS FINANCIAL, LLC

CRD#: 166808 / SEC#: 801-120609

RIA

Registered Investment Advisory firm - (3/25/2021 Approved)

Arizona

Registered Investment Advisory firm - (4/15/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/15/2021 Terminated)

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).

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.

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

Arizona
(3/11/2013)

Arizona
(6/28/2013)

California
(7/25/2013)

Colorado
(6/24/2015)

Florida
(9/26/2022)

Michigan
(5/11/2015)

Minnesota
(1/3/2023)

Nevada
(7/25/2013)

New Mexico
(7/25/2013)

New York
(7/25/2013)

North Dakota
(2/14/2025)

Oklahoma
(1/29/2014)

Texas
(1/6/2017)

IAR

Texas
(8/13/2020)

Utah
(7/25/2013)

Virginia
(7/25/2013)

Washington
(7/25/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/30/2003

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/9/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/19/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/29/1994

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 5/9/1990

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 3/12/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/20/1995

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 9/7/1995

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

SEROS FINANCIAL, LLC

CRD#: 166808 / SEC#: 801-120609

RIA

Registered Investment Advisory firm - (3/25/2021 Approved)

Arizona

Registered Investment Advisory firm - (4/15/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/15/2021 Terminated)

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Contact information

Main Address

2141 East Broadway Rd. Suite 220, Tempe, AZ 85282

Mailing Address

Phone number

(480) 967-1155

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A SEROS FINANCIAL, LLC (11/11/2025)

Regulatory assets under management

Total Number of Accounts	990
AUM (Assets Under Management)	$ 301,058,504

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Jeffrey P. Wilcock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Peterson Wilcock's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

FFEC WEALTH PARTNERS LLC

FFEC WEALTH PARTNERS LLC

OSAIC SERVICES, INC.

ALLIANCE FINANCIAL GROUP, INC.

SUNAMERICA SECURITIES, INC.

ASSOCIATED SECURITIES CORP.

WADDELL & REED

Primary Firm SEC Registration

SEROS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/30/2003

Series 65

Date: 6/9/1999

Series 63

Date: 3/19/1990

SIE

Date: 10/1/2018

Series 7

Date: 9/29/1994

Series 22

Date: 5/9/1990

Series 6

Date: 3/12/1990

Series 24

Date: 12/20/1995

Series 26

Date: 9/7/1995

FINRA

Current Firm

SEROS FINANCIAL, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEROS FINANCIAL, LLC

TRUST BUT VERIFY

Contact information

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