Jose D. Cervantes

EASTERLY INVESTMENT PARTNERS

WESTCHESTER, IL

CRD#: 4122167

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Professional summary

Jose Dejesus Cervantes, CIMA® is a registered financial advisor currently at EASTERLY INVESTMENT PARTNERS LLC located in Westchester, Illinois and EASTERLY SECURITIES LLC located in Beverly, Massachusetts.

Jose is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Jose has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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 Jose Dejesus Cervantes'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

April 16, 2026 - Present

EASTERLY INVESTMENT PARTNERS LLC

RIA

CRD#: 299607

WESTCHESTER, IL

Current

March 25, 2025 - Present

EASTERLY SECURITIES LLC

Office #1: 138 Conant Street Suite 100, Beverly, MA 01915

CRD#: 281103

Beverly, MA

Past

August 23, 2010 - March 20, 2025

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

LISLE, IL

Past

August 23, 2010 - March 20, 2025

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

LISLE, IL

Past

November 19, 2009 - September 2, 2010

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

September 12, 2005 - November 4, 2008

GUGGENHEIM INVESTMENTS

RIA

CRD#: 129288

LISLE, IL

Past

September 12, 2005 - June 25, 2009

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

LISLE, IL

Past

July 6, 2005 - September 8, 2005

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CHICAGO, IL

Past

July 6, 2005 - September 8, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

June 6, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

WARRENVILLE, IL

Past

March 22, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

January 10, 2001 - March 30, 2005

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

February 2, 2000 - January 9, 2001

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

EASTERLY INVESTMENT PARTNERS LLC

E LEVIN PARTNERS LLC | LEVIN EASTERLY PARTNERS LLC | LEVIN EASTERLY | EASTERLY INVESTMENT PARTNERS LLC | EASTERLY ACQUISITION II LLC

CRD#: 299607 / SEC#: 801-114563

RIA

Registered Investment Advisory firm - (1/28/2019 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.

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

Illinois
(3/25/2025)

IAR

Illinois
(4/16/2026)

Indiana
(3/25/2025)

Iowa
(3/25/2025)

Kansas
(3/25/2025)

Massachusetts
(3/25/2025)

Michigan
(3/25/2025)

Minnesota
(3/25/2025)

Missouri
(3/25/2025)

Nebraska
(3/25/2025)

North Dakota
(3/25/2025)

Ohio
(3/26/2025)

South Dakota
(3/25/2025)

Wisconsin
(3/25/2025)

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 66

Date: 6/3/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/9/2000

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: 9/13/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/1/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

EASTERLY INVESTMENT PARTNERS LLC

E LEVIN PARTNERS LLC | LEVIN EASTERLY PARTNERS LLC | LEVIN EASTERLY | EASTERLY INVESTMENT PARTNERS LLC | EASTERLY ACQUISITION II LLC

CRD#: 299607 / SEC#: 801-114563

RIA

Registered Investment Advisory firm - (1/28/2019 Approved)

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Contact information

Main Address

138 Conant Street Suite 100, Beverly, MA 01915

Mailing Address

Phone number

(617) 231-4300

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

EASTERLY INVESTMENT PARTNERS LLC 2024 PART 2A BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	274
AUM (Assets Under Management)	$ 3,054,234,330

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/10/2026	Cover Page	Report
03/06/2025	Cover Page	Report
02/23/2024	Cover Page	Report
03/08/2023	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.

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Advisor Monitoring

Firm Stability Insights

Jose D. Cervantes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose Dejesus Cervantes's CRS (Customer Relationship Summary).

Certified licenses

Experience

EASTERLY SECURITIES LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

GOLDMAN SACHS & CO. LLC

GUGGENHEIM INVESTMENTS

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

GOLDMAN SACHS & CO. LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

EASTERLY INVESTMENT PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/3/2005

Series 63

Date: 2/9/2000

SIE

Date: 10/1/2018

Series 7

Date: 9/13/2002

Series 6

Date: 2/1/2000

FINRA

Current Firm

EASTERLY INVESTMENT PARTNERS LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EASTERLY INVESTMENT PARTNERS LLC

TRUST BUT VERIFY

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