Marcus Velasco

JMG FINANCIAL GROUP LTD

Pewaukee, WI 53188

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CRD#: 2178936

Professional summary

Marcus Velasco, CFP®, CPWA®, who also goes by Marc Velasco, Marcus Anthony Velasco, is a registered financial advisor currently at JMG FINANCIAL GROUP LTD located in Pewaukee, Wisconsin.

Marcus is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Marcus has worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marc Velasco | Marcus Anthony Velasco

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.

VIA, LLC - real estate rental LLC. Non-investment related. Owner. Start date 10/1/2018 1 hour per month after trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marcus Velasco'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®

CFP^®

Certified Financial Planner

Start date: 2021

CPWA^®

Certified Private Wealth Advisor

Experience

Current

December 18, 2020 - Present

JMG FINANCIAL GROUP LTD

Office #1: N19w24400 Riverwood Drive, Suite 250, Pewaukee, WI 53188

RIA

CRD#: 110302

Pewaukee, WI

Past

October 23, 2018 - May 6, 2020

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Lake Zurich, IL

Past

October 23, 2018 - May 6, 2020

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Lake Zurich, IL

Past

August 10, 2016 - January 30, 2018

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

Chicago, IL

Past

August 10, 2016 - January 30, 2018

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

October 23, 2009 - January 6, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

October 23, 2009 - January 6, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHICAGO, IL

Past

December 12, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

CHICAGO, IL

Past

December 11, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

CHICAGO, IL

Past

November 20, 1991 - October 3, 1994

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

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.

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
(12/18/2020)

IAR

Wisconsin
(6/8/2022)

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 66

Date: 12/1/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/15/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/27/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/22/2022

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 9/2/1994

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

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

Marcus Velasco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marcus Velasco's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

TD AMERITRADE, INC.

Primary Firm SEC Registration

JMG FINANCIAL GROUP LTD

State Registrations and Notice Filings

Exams

Series 66

Date: 12/1/2008

Series 63

Date: 10/15/1991

Series 7TO

Date: 12/22/2022

SIE

Date: 1/30/2018

Series 7

Date: 10/27/2008

Series 24

Date: 12/22/2022

Series 8

Date: 9/2/1994

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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