PG
Phillip Guerrero
PMG WEALTH MANAGEMENT
Hawthorn Woods, IL 60047
Some features on this profile are disabled
CRD#: 2896913
PG
Professional summary
Phillip Guerrero, CFP®, who also goes by Phil Guerrero, is a registered financial advisor currently at PMG WEALTH MANAGEMENT located in Hawthorn Woods, Illinois and LPL FINANCIAL LLC located in Hawthorn Woods, Illinois.
Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Phillip has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Small Business Planning
Comprehensive Financial Planni...
Tax Planning
Estate Planning
Employee and Employer Plan Ben...
Retirement Income Management
Retirement Planning
Insurance Planning
Investment Planning
Are you a "fiduciary"?
Yes
Aliases
Phil Guerrero
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) 07/23/2007: PMG WEALTH MANAGEMENT - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S)
(2) 02/29/2012: NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION(S) - FIXED INSURANCE PRODUCTS - 1% TIME SPENT
(3) 06/15/2016 - PMG Wealth Management 401k Plan - Act in a Fiduciary Capacity - INV REL - START 01/01/2014 - PMG Wealth Management, 60 Landover Pkwy, Ste. D, Hawthorn Woods, IL 60047 - Trustee of PMG Wealth Management 401k Plan for self and employees - 1 HR/MO, 1 DURING SECS TRDG HRS
(4) 06/15/2017 - PMG Wealth Management, Inc. - investment related - At reported business location(s) - Registered Investment Advisor Hybrid - IAR - start 01/15/2017 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through PMG Wealth Management, Inc., an independent investment advisor firm. I started this business activity in January 2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
(5) 06/15/2017 - PMG Wealth Management, Inc. - investment related - At reported business location(s) - Registered Investment Advisor DBA - start 01/15/2017 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through PMG Wealth Management, Inc., an independent investment advisor firm. I started this business activity in Jan 2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
(6) 9/16/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Illinois Notary Public - Started 07/08/2010 - 1 Hours Per Month During Securities Trading - Illinois Notary Public (renewed).
(7) 1/21/2020 - Plan To Rise Above - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/19/2019 - 5 Hours Per Month/2 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Phillip Guerrero'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®
CFP®
Start date: 2007
Experience
Current
February 10, 2017 - Present
PMG WEALTH MANAGEMENT
Office #1: 60 Landover Pkwy, Ste. D, Hawthorn Woods, IL 60047RIA
CRD#: 285899
Hawthorn Woods, IL
Current
October 10, 2007 - Present
LPL FINANCIAL LLC
Office #1: 60 Landover Pkwy. Ste.d, Hawthorn Woods, IL 60047RIA
BD
CRD#: 6413
HAWTHORN WOODS, IL
Past
October 10, 2007 - July 5, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAKE ZURICH, IL
Past
December 20, 2000 - October 15, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
BARRINGTON, IL
Past
August 12, 1997 - October 15, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
BARRINGTON, IL
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".
PW
PMG WEALTH MANAGEMENT
PMG WEALTH MANAGEMENT | PMG WEALTH MANAGEMENT, INC.
CRD#: 285899 / SEC#: 801-122740
RIA
Registered Investment Advisory firm - (11/22/2021 Approved)California
Registered Investment Advisory firm - (12/23/2021 Terminated)Florida
Registered Investment Advisory firm - (11/23/2021 Terminated)Illinois
Registered Investment Advisory firm - (11/23/2021 Terminated)Texas
Registered Investment Advisory firm - (11/23/2021 Terminated)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.RR
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
RR
Arizona(9/10/2020)
RR
California(10/10/2007)
RR
Connecticut(2/2/2021)
RR
Florida(10/10/2007)
RR
Georgia(11/2/2010)
RR
Illinois(10/10/2007)
IAR
Illinois(2/10/2017)
RR
Indiana(12/5/2008)
RR
Iowa(3/29/2016)
RR
Kansas(5/17/2023)
RR
Maryland(1/11/2022)
RR
Michigan(9/3/2021)
RR
Mississippi(1/16/2024)
RR
New York(7/8/2016)
RR
North Carolina(7/30/2010)
RR
Ohio(11/5/2010)
RR
Pennsylvania(11/2/2010)
RR
Tennessee(5/8/2024)
IAR
Texas(3/1/2017)
RR
Texas(7/8/2022)
RR
Virginia(8/5/2025)
RR
Wisconsin(10/10/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PW
PMG WEALTH MANAGEMENT
PMG WEALTH MANAGEMENT | PMG WEALTH MANAGEMENT, INC.
CRD#: 285899 / SEC#: 801-122740
RIA
Registered Investment Advisory firm - (11/22/2021 Approved)California
Registered Investment Advisory firm - (12/23/2021 Terminated)Florida
Registered Investment Advisory firm - (11/23/2021 Terminated)Illinois
Registered Investment Advisory firm - (11/23/2021 Terminated)Texas
Registered Investment Advisory firm - (11/23/2021 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
60 Landover Pkwy, Ste. D, Hawthorn Woods, IL 60047
Mailing Address
Phone number
(847) 550-6100
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 696 |
| AUM (Assets Under Management) | $ 164,749,480 |
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.
