JG
Joel M. Guerrero
SPC
BROWNSVILLE, TX 78526
Some features on this profile are disabled
CRD#: 4634404
JG
Professional summary
Joel M Guerrero is a registered financial advisor currently at SPC located in Brownsville, Texas and SIGMA FINANCIAL CORPORATION located in Brownsville, Texas.
Joel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Joel has worked at 8 firms and has passed the Series 66, SIE and Series 7 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.
J.M.G. FINANCIAL: PROVIDE FINANCIAL SERVICES AND SALE OF VARIOUS INSURANCE PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES.
CRS (Client Relationship Summary) - RIA
Click below to view Joel M Guerrero's 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®
NoneExperience
Current
May 31, 2011 - Present
SPC
Office #1: 5156 N. Expressway Suite B, Brownsville, TX 78526RIA
CRD#: 110692
BROWNSVILLE, TX
Current
May 31, 2011 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 5156 N. Expressway, Brownsville, TX 78526BD
CRD#: 14303
Brownsville, TX
Past
October 26, 2010 - May 26, 2011
GWM GROUP, INC.
BD
CRD#: 42844
GREENWICH, CT
Past
August 11, 2010 - September 14, 2010
GREAT NATION INVESTMENT CORPORATION
BD
CRD#: 19981
AMARILLO, TX
Past
June 30, 2010 - August 9, 2010
UNITED EQUITY SECURITIES, LLC
RIA
CRD#: 47261
BROWNSVILLE, TX
Past
March 31, 2010 - August 9, 2010
UNITED EQUITY SECURITIES, LLC
BD
CRD#: 47261
HUSTON, TX
Past
June 5, 2009 - March 31, 2010
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
BROWNSVILLE, TX
Past
June 5, 2009 - March 31, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
BROWNSVILLE, TX
Past
January 1, 2008 - June 29, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BROWNSVILLE, TX
Past
January 1, 2008 - June 29, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BROWNSVILLE, TX
Past
August 25, 2003 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
BROWNSVILLE, TX
Past
June 16, 2003 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
BROWNSVILLE, TX
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".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)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.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
Texas(5/31/2011)
IAR
Texas(5/31/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
