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JC

Jose D. Cervantes

EASTERLY SECURITIES LLC
Beverly, MA 01915
Some features on this profile are disabled
CRD#: 4122167
JC

Professional summary

Jose Dejesus Cervantes, CIMA® is a registered financial professional currently at EASTERLY SECURITIES LLC located in Beverly, Massachusetts.

Jose is registered as a RR (Registered Representative) and started their career in finance in 2000. Jose has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

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

March 25, 2025 - Present

EASTERLY SECURITIES LLC

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

BD
CRD#: 46727
LISLE, IL
Past

November 19, 2009 - September 2, 2010

GOLDMAN SACHS & CO. LLC

BD
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

BD
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.

BD
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

BD
CRD#: 16999
CHICAGO, IL
Past

January 10, 2001 - March 30, 2005

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

February 2, 2000 - January 9, 2001

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Illinois
(3/25/2025)
RR
Indiana
(3/25/2025)
RR
Iowa
(3/25/2025)
RR
Kansas
(3/25/2025)
RR
Massachusetts
(3/25/2025)
RR
Michigan
(3/25/2025)
RR
Minnesota
(3/25/2025)
RR
Missouri
(3/25/2025)
RR
Nebraska
(3/25/2025)
RR
North Dakota
(3/25/2025)
RR
Ohio
(3/26/2025)
RR
South Dakota
(3/25/2025)
RR
Wisconsin
(3/25/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/3/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/9/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/13/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/1/2000
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EASTERLY SECURITIES LLC
EASTERLY SECURITIES LLC | EASTERLY SECURITIES, LLC

CRD#: 281103 / SEC#: , 8-69661

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
138 Conant Street Suite 100, Beverly, MA 01915
Mailing Address
138 Conant Street Suite 100, Beverly, MA 01915
Phone number
(617) 231-4300
Established
Delaware since 07/06/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EASTERLY ASSET MANAGEMENT OPERATIONS LLCSOLE AND MANAGING MEMBER
FRIZE, BERNARD JOSEPH JRCHIEF COMPLIANCE OFFICER2366022
JULIANO JR, PHILIP LCHIEF EXECUTIVE OFFICER4781008
JUSTER, KENNETH GCHIEF LEGAL OFFICER4788250
MONTAGUE, MICHAELCHIEF FINANCIAL OFFICER5121305
SMITH, ELIZABETH ANNEFINOP1960549

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

EASTERLY SECURITIES LLC

CRD#: 281103Beverly, MA 01915

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