Aaron W. Niec

JMG FINANCIAL GROUP LTD

SARASOTA, FL 34236

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CRD#: 4742245

Professional summary

Aaron Walter Niec, CFP®, who also goes by Aaron Niec, is a registered financial advisor currently at JMG FINANCIAL GROUP LTD located in Sarasota, Florida.

Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Aaron has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Aaron Niec

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 Aaron Walter Niec'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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

October 7, 2019 - Present

JMG FINANCIAL GROUP LTD

Office #1: 1990 Main Street Suite 750, Sarasota, FL 34236

RIA

CRD#: 110302

SARASOTA, FL

Past

August 28, 2009 - October 9, 2019

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

SARASOTA, FL

Past

August 5, 2009 - October 9, 2019

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

RIVERVIEW, FL

Past

November 29, 2006 - July 27, 2009

OSAIC SERVICES, INC.

CRD#: 133763

SARASOTA, FL

Past

November 28, 2006 - November 29, 2006

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

November 20, 2006 - August 10, 2009

PAYANT WEALTH MANAGEMENT GROUP

RIA

CRD#: 134854

SUN CITY CENTER, FL

Past

November 10, 2005 - November 21, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SUN CITY CENTER, FL

Past

August 5, 2005 - September 23, 2005

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

MCDONOUGH, GA

Past

May 2, 2005 - August 2, 2005

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

April 22, 2004 - December 31, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

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".

JMG FINANCIAL GROUP LTD

CRD#: 110302 / SEC#: 801-23526

RIA

Registered Investment Advisory firm - (2/13/1985 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.

Highlighted states indicate IAR registrations

IAR

Florida
(10/7/2019)

IAR

Illinois
(3/4/2022)

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: 11/23/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/21/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/21/2007

General Securities Principal Examination

Current Firm

JMG FINANCIAL GROUP LTD

CRD#: 110302 / SEC#: 801-23526

RIA

Registered Investment Advisory firm - (2/13/1985 Approved)

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Contact information

Main Address

2001 Butterfield Road, Suite 1400, Downers Grove, IL 60515

Mailing Address

Phone number

(630) 571-5252

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JMG BROCHURE SUPPLEMENT MARCH 2025 (3/19/2025)

Regulatory assets under management

Total Number of Accounts	5,763
AUM (Assets Under Management)	$ 6,366,272,925

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/11/2024	Cover Page	Report
11/20/2023	Cover Page	Report
02/20/2023	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

Aaron W. Niec

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Walter Niec's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

OSAIC SERVICES, INC.

FSC SECURITIES CORPORATION

PAYANT WEALTH MANAGEMENT GROUP

RAYMOND JAMES FINANCIAL SERVICES, INC.

G.F. INVESTMENT SERVICES, LLC

NATIONAL PLANNING CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

JMG FINANCIAL GROUP LTD

State Registrations and Notice Filings

Exams

Series 66

Date: 11/23/2004

SIE

Date: 10/1/2018

Series 7

Date: 4/21/2004

Series 24

Date: 12/21/2007

Current Firm

JMG FINANCIAL GROUP LTD

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

JMG FINANCIAL GROUP LTD

TRUST BUT VERIFY

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