Anant K. Jain

FINANCIAL MANAGEMENT STRATEGIES

RICHARDSON, TX 75080

CRD#: 2975188

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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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anant K Jain'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: 1996

Experience

Current

March 25, 2011 - Present

FINANCIAL MANAGEMENT STRATEGIES, INC.

Office #1: 777 South Central Expwy Suite #1-r, Richardson, TX 75080

RIA

CRD#: 120818

RICHARDSON, TX

Current

September 3, 2013 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 777 South Central Expressway Suite 1-r, Richardson, TX 75080

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.

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".

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)

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

California
(9/3/2013)

Colorado
(9/3/2013)

Maryland
(9/18/2023)

Nevada
(7/2/2025)

Ohio
(1/8/2026)

IAR

Texas
(3/25/2011)

Texas
(9/3/2013)

Washington
(9/3/2013)

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 65

Date: 12/3/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/1/1997

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: 12/18/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/14/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

11192025 (11/19/2025)

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.

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Firm Stability Insights

Anant K. Jain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anant K Jain's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

UNITED SOLUTIONS

WALNUT STREET SECURITIES, INC.

Primary Firm SEC Registration

FINANCIAL MANAGEMENT STRATEGIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/3/1997

Series 63

Date: 12/1/1997

SIE

Date: 10/1/2018

Series 7

Date: 12/18/1997

Series 24

Date: 6/14/1999

FINRA

Current Firm

FINANCIAL MANAGEMENT STRATEGIES, INC.

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL MANAGEMENT STRATEGIES, INC.

TRUST BUT VERIFY

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