Jonathan C. Ulloa

ASIA PACIFIC FINANCIAL MANAGEMENT GROUP

Hagatna, 96910-5156

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CRD#: 4223528

Professional summary

Jonathan Charles Ulloa is a registered financial advisor currently at ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC. .

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Jonathan has worked at 2 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.

UNO MAGAZINE GUAM; NON INVESTMENT-RELATED; 600 BELLO STREET, STE 110 BARRIGADA, GUAM 96913; BI-MONTHLY MAGAZINE PUBLICATION; JOURNALIST/EDITOR; NOV. 2010; 20 HOURS EVERY OTHER MONTH; COORDINATE SECTION ARTICLES AND WRITE ARTICLES FOR MAGAZINE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Charles Ulloa'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

August 22, 2023 - Present

ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.

Office #1: 145 Aspinall Avenue, Hagatna 96910-5156

RIA

CRD#: 32338

Hagatna,

Past

March 27, 2012 - December 21, 2023

ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.

CRD#: 32338

HAGATNA,

Past

August 14, 2000 - October 14, 2003

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.

ASIA PACIFIC FINANCIAL MANAGEMENT GROUP | ASIA PACIFIC INVESTORS SERVICES | ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.

CRD#: 32338 / SEC#: 801-79830, 8-46412

RIA

Registered Investment Advisory firm - SEC (6/24/2014 Approved)

Terminated by SEC on 02/19/2024

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

California
(9/24/2025)

IAR

Nevada
(8/22/2023)

IAR

Oregon
(8/1/2024)

IAR

Texas
(10/26/2023)

IAR

Washington
(11/1/2023)

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: 7/9/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/25/2000

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: 3/27/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/11/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.

ASIA PACIFIC FINANCIAL MANAGEMENT GROUP | ASIA PACIFIC INVESTORS SERVICES | ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.

CRD#: 32338 / SEC#: 801-79830, 8-46412

RIA

Registered Investment Advisory firm - SEC (6/24/2014 Approved)

Terminated by SEC on 02/19/2024

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Contact information

Main Address

145 Aspinall Avenue, Hagatna 96910-5156

Mailing Address

Phone number

(671) 472-6400

Established

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC. DISCLOSURE BROCHURE (V2025) (2/20/2025)

Direct owners and executive officers

Name	Position	CRD#
MCKEEVER, SANDRA HOLSTI	CEO, CHIEF COMPLIANCE OFFICER	4091906
ULLOA, JONATHAN CHARLES	FINANCIAL ADVISOR	4223528

Regulatory assets under management

Total Number of Accounts	1,432
AUM (Assets Under Management)	$ 286,152,291

Disclosures

Arbitration	1
Financial	1

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

Jonathan C. Ulloa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Charles Ulloa's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/9/2012

Series 63

Date: 10/25/2000

SIE

Date: 10/1/2018

Series 7

Date: 3/27/2012

Series 6

Date: 8/11/2000

Current Firm

ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ASIA PACIFIC FINANCIAL MANAGEMENT GROUP, INC.

TRUST BUT VERIFY

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