Oscar H. Cantu

JMG FINANCIAL GROUP LTD

Downers Grove, IL 60515

Some features on this profile are disabled

CRD#: 3099819

Professional summary

Oscar Hernon Cantu is a registered financial advisor currently at JMG FINANCIAL GROUP LTD located in Downers Grove, Illinois.

Oscar is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Oscar has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 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 Oscar Hernon Cantu'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

January 14, 2020 - Present

JMG FINANCIAL GROUP LTD

Office #1: 2001 Butterfield Road, Suite 1400, Downers Grove, IL 60515

RIA

CRD#: 110302

Downers Grove, IL

Past

April 26, 2004 - November 26, 2019

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

South Barrington, IL

Past

August 24, 1999 - November 26, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

South Barrington, IL

Past

August 24, 1998 - October 29, 1998

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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
(1/14/2020)

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: 4/19/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/14/1998

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: 8/21/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/18/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/1/2003

General Securities Sales Supervisor - Options Module Examination

Current Firm

JMG FINANCIAL GROUP LTD

CRD#: 110302 / SEC#: 801-23526

RIA

Registered Investment Advisory firm - (2/13/1985 Approved)

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

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.

Similar Advisors

James Flanagan

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Downers Grove, IL

Flavia Cardozo

J.P. MORGAN SECURITIES LLC

IAR

Naperville, IL

Justin Dagostino

VERTEX PARTNERS

IAR

Downers Grove, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Oscar H. Cantu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Oscar Hernon Cantu's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

JMG FINANCIAL GROUP LTD

State Registrations and Notice Filings

Exams

Series 66

Date: 4/19/2004

Series 63

Date: 8/14/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/21/1998

Series 10

Date: 3/18/2004

Series 9

Date: 12/1/2003

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

Similar Advisors