Anant K. Jain
FINANCIAL MANAGEMENT STRATEGIES
RICHARDSON, TX 75080
Some features on this profile are disabled
CRD#: 2975188
Professional summary
Anant K Jain, CFP® is a registered financial advisor currently at FINANCIAL MANAGEMENT STRATEGIES, INC. located in Richardson, Texas and CETERA WEALTH SERVICES, LLC located in Richardson, Texas.
Anant is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Anant has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. INDEPENDENT INSURANCE AGENT, SELLING DISABILITY, FIXED ANNUITIES, LIFE, ACCIDENT, HEALTH, LTC, FROM BUSINESS ADDRESS, FOR 2 WKDY & 2 EVE/WKND HRS/WK, SINCE 2/1998; 2. IAR OF FINANCIAL MANAGEMENT STRATEGIES (FMS), FOR 40HRS/WK & 10HRS EVENING & WKENDS, SINCE 04/2011; 3. UNITED SOLUTIONS, OWNER/PRESIDENT, 777 S. CENTRAL EXPRESSWAY, SUITE 1-R, RICHARDSON, TX 75080, THIS HOLDING COMPANY (AN S-CORP) IS THE ENTITY FOR ALL MY PRACTICE ASSETS, INCOME AND EXPENSES, FOR 1HR/WK & 2HRS EVENING & WKENDS, SINCE 08/1999; 4. NAME OF OTHER BUSINESS: DALLAS INDIAN LIONS CLUB; INVESTMENT RELATED: NO; ADDRESS: 6220 CHASE OAKS BLVD PLANO,TX 75023; NATURE OF BUSINESS: COMMUNITY ORGANIZATION; START DATE: 3/2022; POSITION/TITLE/RELATIONSHIP: CONSULTANT TO THE BOARD ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: ADVISING NEW BOARD MEMBERS ; 5. NAME OF OTHER BUSINESS: JAIN SOCIETY OF NORTH TEXAS, INC,; INVESTMENT RELATED: NO; ADDRESS: 11321 WEBB CHAPEL ROAD DALLAS, TX 75229; NATURE OF BUSINESS: RELIGIOUS ORGANIZATION; START DATE: 3/2022; POSITION/TITLE/RELATIONSHIP: CORPORATE AGENT ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: ADVISES EXECUTIVE COMMITTEE ABOUT HISTORY AND TRADITIONS ;
CRS (Client Relationship Summary) - RIA
Click below to view Anant K Jain'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: 1996
Experience
Current
March 25, 2011 - Present
FINANCIAL MANAGEMENT STRATEGIES, INC.
Office #1: 777 South Central Expwy Suite #1-r, Richardson, TX 75080RIA
CRD#: 120818
RICHARDSON, TX
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 777 South Central Expressway Suite 1-r, Richardson, TX 75080BD
CRD#: 13572
Richardson, TX
Past
February 17, 1998 - April 12, 2011
UNITED SOLUTIONS
RIA
CRD#: 114636
RICHARDSON, TX
Past
December 22, 1997 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
RICHARDSON, TX
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".
FM
FINANCIAL MANAGEMENT STRATEGIES, INC.
FINANCIAL MANAGEMENT STRATEGIES, INC.
CRD#: 120818 / SEC#: 801-66641
RIA
Registered Investment Advisory firm - (5/17/2006 Approved)Ohio
Registered Investment Advisory firm - (11/7/2006 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
California(9/3/2013)
RR
Colorado(9/3/2013)
RR
Maryland(9/18/2023)
RR
Nevada(7/2/2025)
IAR
Texas(3/25/2011)
RR
Texas(9/3/2013)
RR
Washington(9/3/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FM
FINANCIAL MANAGEMENT STRATEGIES, INC.
FINANCIAL MANAGEMENT STRATEGIES, INC.
CRD#: 120818 / SEC#: 801-66641
RIA
Registered Investment Advisory firm - (5/17/2006 Approved)Ohio
Registered Investment Advisory firm - (11/7/2006 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
9200 South Hills Blvd. Suite 310, Broadview Hts., OH 44147
Mailing Address
Phone number
(216) 642-1099
Established
Firm type
Fiscal year end
# of Employees
34
SEC notice filing (18 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,776 |
| AUM (Assets Under Management) | $ 619,530,659 |
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.
Company Information
FINANCIAL MANAGEMENT STRATEGIES, INC.
CRD#: 120818Richardson, TX 75080TRUST BUT VERIFY
Monitor Anant Jain
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
