SJ
Sigsig M. Jimenez
DMK ADVISOR GROUP
Lutz, FL 33558
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CRD#: 5540161
SJ
Professional summary
Sigsig M Jimenez, who also goes by Sigsig M Jimenez-marcel, Siysig M Jimenez-marcel, is a registered financial professional currently at DMK ADVISOR GROUP, INC. located in Lutz, Florida.
Sigsig is registered as a RR (Registered Representative) and started their career in finance in 2009. Sigsig has worked at 2 firms and has passed the SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sigsig M Jimenez-Marcel | Siysig M Jimenez-Marcel
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.
CRS (Client Relationship Summary) - BD
Click below to view Sigsig M Jimenez'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
August 24, 2023 - Present
DMK ADVISOR GROUP, INC.
Office #1: 17961 Hunting Bow Circle Suite 102, Lutz, FL 33558RIA
BD
CRD#: 41067
Lutz, FL
Past
October 19, 2009 - August 10, 2023
UNIVERSAL FINANCIAL SERVICES INC.
BD
CRD#: 131558
Guaynabo, PR
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".
DA
DMK ADVISOR GROUP, INC.
DMK ADVISOR GROUP, INC. | STEPHEN A. KOHN & ASSOCIATES, LTD.
CRD#: 41067 / SEC#: 801-121389, 8-49279
RIA
Registered Investment Advisory firm - SEC (6/3/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Arkansas
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)California
Registered Investment Advisory firm - SEC (7/8/2021 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)Delaware
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (10/18/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/15/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2005 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Maine
Registered Investment Advisory firm - SEC (9/5/2003 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/15/2002 Terminated)Michigan
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Mississippi
Registered Investment Advisory firm - SEC (10/18/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (6/28/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)New York
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Puerto Rico
Registered Investment Advisory firm - SEC (6/3/2021 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Washington
Registered Investment Advisory firm - SEC (10/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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
Puerto Rico(12/1/2023)
Exams
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DA
DMK ADVISOR GROUP, INC.
DMK ADVISOR GROUP, INC. | STEPHEN A. KOHN & ASSOCIATES, LTD.
CRD#: 41067 / SEC#: 801-121389, 8-49279
RIA
Registered Investment Advisory firm - SEC (6/3/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Arkansas
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)California
Registered Investment Advisory firm - SEC (7/8/2021 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)Delaware
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (10/18/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/15/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2005 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Maine
Registered Investment Advisory firm - SEC (9/5/2003 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/15/2002 Terminated)Michigan
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Mississippi
Registered Investment Advisory firm - SEC (10/18/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (6/28/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)New York
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Puerto Rico
Registered Investment Advisory firm - SEC (6/3/2021 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Washington
Registered Investment Advisory firm - SEC (10/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
17961 Hunting Bow Circle Suite 102, Lutz, FL 33558
Mailing Address
17961 Hunting Bow Circle Suite 102, Lutz, FL 33558
Phone number
(303) 470-5664
Established
Colorado since 04/30/1996
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
42
SEC notice filing (34 States and Territories)
FINRA licenses (46 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DESAI, JANAK R | DIRECTOR | 6307455 |
| DOUGLAS, KELVIN RAY | DIRECTOR | 4723703 |
| MISRA, SUNIL DUTT | DIRECTOR/PRINCIPAL | 5617829 |
| PEREZ, JORGE RAMON | DIRECTOR | 2253547 |
| SCHWARTZ, HAROLD ALAN | CEO/PRINCIPAL | 841225 |
| BASKETT, ERIN ELAINE | CHIEF COMPLIANCE OFFICER | 4538604 |
| GALLIGAN, PETER B | FINOP | 1873304 |
| GROSMAN, BARRY JULIAN | DIRECTOR | 7967542 |
| KOHN, STEPHEN ALAN | MUNI PRINCIPAL | 1267211 |
| OHMAN, JOHN DAVID | ROP/CROP | 1059085 |
Regulatory assets under management
| Total Number of Accounts | 469 |
| AUM (Assets Under Management) | $ 84,480,870 |
Disclosures
| Regulatory Event | 5 |
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
DMK ADVISOR GROUP, INC.
CRD#: 41067Lutz, FL 33558TRUST BUT VERIFY
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