Jessica M. Roks

JDM FINANCIAL GROUP LLC

Irvine, CA

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CRD#: 5731201

Professional summary

Jessica May Roks, CFP®, who also goes by Jessica May Fernandez, is a registered financial advisor currently at JDM FINANCIAL GROUP LLC located in Irvine, California.

Jessica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Jessica has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Biography

Jessica is a Certified Financial Planner™ (CFP®) at JDM Financial Group.   Her expertise lies in retirement planning, tax and estate planning.  She is driven by a passion to help clients attain financial peace of mind and achieve their life objectives through a customized and goals-based approach to financial planning.

Working for over 14 years with high and ultra-high net worth individuals and families, she also has extensive experience in the areas of investments, employee benefits, risk management, and education planning. 

In her free time, Jessica enjoys live music, travel and spending time with friends and family.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jessica May Fernandez

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 Jessica May Roks'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®

CRD#: 43285

COSTA MESA, CA

Past

November 11, 2011 - February 12, 2015

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

IRVINE, CA

Past

October 10, 2011 - February 12, 2015

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

IRVINE, CA

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".

JDM FINANCIAL GROUP LLC

CRD#: 122057 / SEC#: 801-122040

RIA

Registered Investment Advisory firm - (8/10/2021 Approved)

California

Registered Investment Advisory firm - (10/23/2021 Terminated)

Colorado

Registered Investment Advisory firm - (10/1/2021 Terminated)

New York

Registered Investment Advisory firm - (9/23/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/23/2021 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

California
(8/23/2024)

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: 11/8/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/3/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/7/2011

General Securities Representative Examination

Current Firm

JDM FINANCIAL GROUP LLC

CRD#: 122057 / SEC#: 801-122040

RIA

Registered Investment Advisory firm - (8/10/2021 Approved)

California

Registered Investment Advisory firm - (10/23/2021 Terminated)

Colorado

Registered Investment Advisory firm - (10/1/2021 Terminated)

New York

Registered Investment Advisory firm - (9/23/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/23/2021 Terminated)

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Contact information

Main Address

Austin, TX

Mailing Address

1108 Lavaca St. Suite 110-523, Austin, TX 78701

Phone number

(310) 479-4122

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP PROGRAM DISCLOSURE BROCHURE (3/25/2025)

DISCLOSURE DOCUMENT FOR CLIENTS NOT PARTICIPATING IN WRAP PROGRAM (3/25/2025)

REPRESENTATIVE BROCHURE - ROKS (3/25/2025)

REPRESENTATIVE BROCHURE - BABILONIA (3/25/2025)

REPRESENTATIVE BROCHURE - MUNJACK (3/25/2025)

REPRESENTATIVE BROCHURE - ROSENBERG (3/25/2025)

Regulatory assets under management

Total Number of Accounts	799
AUM (Assets Under Management)	$ 295,924,042

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.

Contact information

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Firm Stability Insights

Jessica M. Roks

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jessica May Roks's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPIRICAL WEALTH MANAGEMENT

CREATIVE PLANNING

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

Primary Firm SEC Registration

JDM FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/8/2011

SIE

Date: 1/3/2017

Series 7

Date: 10/7/2011

Current Firm

JDM FINANCIAL GROUP LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JDM FINANCIAL GROUP LLC

TRUST BUT VERIFY

Contact information

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