John J. Masus

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CRD#: 322627

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Joseph Masus was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1970. John had worked at 5 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

December 11, 1970 - January 24, 2000

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

MASUS FINANCIAL GROUP, LTD.

CRD#: 174339 / SEC#: 801-101531

RIA

Registered Investment Advisory firm - (7/28/2015 Approved)

Texas

Registered Investment Advisory firm - (5/9/2016 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 9/8/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 12/3/1970

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/28/2000

General Securities Principal Examination

Current Firm

MASUS FINANCIAL GROUP, LTD.

CRD#: 174339 / SEC#: 801-101531

RIA

Registered Investment Advisory firm - (7/28/2015 Approved)

Texas

Registered Investment Advisory firm - (5/9/2016 Terminated)

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Contact information

Main Address

515 N. River Street Suite 100, Batavia, IL 60510-2390

Mailing Address

Phone number

(630) 879-8464

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MASUS DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (1/31/2025)

Regulatory assets under management

Total Number of Accounts	665
AUM (Assets Under Management)	$ 172,433,783

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

John J. Masus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MASUS FINANCIAL GROUP, LTD.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

MASUS FINANCIAL GROUP, LTD.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/8/1995

SIE

Date: 5/29/2018

Series 1

Date: 12/3/1970

Series 24

Date: 2/28/2000

Current Firm

MASUS FINANCIAL GROUP, LTD.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MASUS FINANCIAL GROUP, LTD.

TRUST BUT VERIFY

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