JB
Jill E. Baumes
SEROS FINANCIAL
Tempe, AZ 85282
Some features on this profile are disabled
CRD#: 5323816
JB
Professional summary
Jill E Baumes, who also goes by Jill E Ferreira, Jill Ferreira, is a registered financial advisor currently at SEROS FINANCIAL, LLC located in Tempe, Arizona and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Tempe, Arizona.
Jill is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Jill has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jill E Ferreira | Jill Ferreira
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.
1.) SEROS FINANCIAL - ADVISOR - REGISTERED INVESTMENT ADVISOR - TEMPE, AZ - SINCE 09/2011 - INVESTMENT RELATED 2.) SEROS FINANCIAL LLC - INDEPENDENT INSURANCE AGENT - NON-VARIABLE INSURANCE - TEMPE, AZ - SINCE 07/2011 - NOT INVESTMENT RELATED 3.) OPULENCE FUND, LLC - OWNER - ADMIN SERVICES - TEMPE, AZ - SINCE 05/2012 - NOT INVESTMENT RELATED 4.) LALA'S BAY LLC - OWNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - CHANDLER, AZ - SINCE 06/2021 - INVESTMENT RELATED 5.) SEROS FINANCIAL - WEALTH ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - TEMPE, AZ - SINCE 08/2022 - INVESTMENT RELATED 6.) SAMSARA RENTAL - LANDLORD - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - LAS VEGAS, NV - SINCE 11/2024 - NOT INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Jill E Baumes'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
March 11, 2013 - Present
SEROS FINANCIAL, LLC
Office #1: 2141 East Broadway Rd. Suite 220, Tempe, AZ 85282RIA
CRD#: 166808
Tempe, AZ
Current
November 8, 2013 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 2141 E Broadway Rd Ste 220, Tempe, AZ 85282RIA
BD
CRD#: 20804
Tempe, AZ
Past
October 21, 2011 - December 31, 2020
NEWMARK CAPITAL MANAGEMENT, LLC
RIA
CRD#: 153960
TEMPE, AZ
Past
March 7, 2008 - July 2, 2008
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
CHANDLER, AZ
Past
May 25, 2007 - February 8, 2008
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
MESA, AZ
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".
SF
SEROS FINANCIAL, LLC
SEROS FINANCIAL, LLC
CRD#: 166808 / SEC#: 801-120609
RIA
Registered Investment Advisory firm - (3/25/2021 Approved)Arizona
Registered Investment Advisory firm - (4/15/2021 Terminated)Texas
Registered Investment Advisory firm - (4/15/2021 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
Alaska(2/5/2024)
IAR
Arizona(3/11/2013)
RR
Arizona(11/21/2013)
RR
California(6/23/2018)
RR
Colorado(4/16/2018)
RR
Florida(1/6/2021)
RR
Idaho(1/3/2023)
RR
Illinois(4/17/2018)
RR
Iowa(6/12/2020)
RR
Kansas(4/18/2019)
RR
Michigan(7/18/2022)
RR
Minnesota(8/2/2019)
RR
Missouri(6/23/2018)
RR
Montana(1/6/2021)
RR
Nevada(6/23/2018)
RR
New Mexico(6/23/2018)
RR
North Carolina(6/23/2018)
RR
Oklahoma(1/3/2023)
RR
South Carolina(1/12/2022)
RR
South Dakota(4/25/2022)
RR
Texas(6/23/2018)
IAR
Texas(1/27/2020)
RR
Utah(6/23/2018)
RR
Washington(6/23/2018)
RR
Wisconsin(11/3/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SEROS FINANCIAL, LLC
SEROS FINANCIAL, LLC
CRD#: 166808 / SEC#: 801-120609
RIA
Registered Investment Advisory firm - (3/25/2021 Approved)Arizona
Registered Investment Advisory firm - (4/15/2021 Terminated)Texas
Registered Investment Advisory firm - (4/15/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2141 East Broadway Rd. Suite 220, Tempe, AZ 85282
Mailing Address
Phone number
(480) 967-1155
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 990 |
| AUM (Assets Under Management) | $ 301,058,504 |
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.
