Jessica M. Rios

LOYOLA ASSET MANAGEMENT LLC

CORAL GABLES, FL 33134

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CRD#: 5611653

Professional summary

Jessica Maria Rios, who also goes by Jessica Guerra, Jessica Rios, is a registered financial advisor currently at LOYOLA ASSET MANAGEMENT LLC located in Coral Gables, Florida.

Jessica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Jessica has worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jessica Guerra | Jessica Rios

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) LOYOLA ASSET MANAGEMENT. 55 MERRICK WAY, SUITE 208. RIA. CHIEF COMPLIANCE OFFICER. 200 HOURS/MO.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jessica Maria Rios'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

May 3, 2017 - Present

LOYOLA ASSET MANAGEMENT LLC

Office #1: 2990 Ponce De Leon Blvd Suite 202, Coral Gables, FL 33134

RIA

CRD#: 153255

CORAL GABLES, FL

Past

November 7, 2019 - July 13, 2020

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

CORAL GABLES, FL

Past

October 12, 2018 - November 5, 2019

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

CORAL GABLES, FL

Past

April 3, 2017 - October 15, 2018

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Coral Gables, FL

Past

January 17, 2017 - March 8, 2017

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

Miami, FL

Past

January 13, 2017 - March 8, 2017

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

Miami, FL

Past

December 2, 2009 - January 20, 2017

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

MIAMI, FL

Past

March 6, 2009 - January 20, 2017

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

MIAMI, FL

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".

LOYOLA ASSET MANAGEMENT LLC

CRD#: 153255 / SEC#: 801-78216

RIA

Registered Investment Advisory firm - (6/19/2013 Approved)

Florida

Registered Investment Advisory firm - (3/24/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(5/3/2017)

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: 11/27/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/5/2009

General Securities Representative Examination

Current Firm

LOYOLA ASSET MANAGEMENT LLC

CRD#: 153255 / SEC#: 801-78216

RIA

Registered Investment Advisory firm - (6/19/2013 Approved)

Florida

Registered Investment Advisory firm - (3/24/2014 Terminated)

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Contact information

Main Address

2990 Ponce De Leon Blvd Suite 202, Coral Gables, FL 33134

Mailing Address

Phone number

(305) 377-1941

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LOYOLA ASSET MANAGEMENT LLC FORM ADV PART 2A MARCH 13, 2025 (3/13/2025)

Regulatory assets under management

Total Number of Accounts	61
AUM (Assets Under Management)	$ 263,343,132

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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Jessica M. Rios

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jessica Maria Rios's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

PRIVATE CLIENT SERVICES, LLC

WESTERN INTERNATIONAL SECURITIES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

Primary Firm SEC Registration

LOYOLA ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/27/2009

Series 7TO

Date: 12/22/2022

SIE

Date: 10/1/2018

Series 7

Date: 3/5/2009

Current Firm

LOYOLA ASSET MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LOYOLA ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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