Juan C. Pantoja

FINANCIAL PLANNING FIRST

Tucson, AZ

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CRD#: 5928888

Professional summary

Juan C Pantoja is a registered financial advisor currently at FINANCIAL PLANNING FIRST, LLC located in Tucson, Arizona.

Juan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Juan has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) JP COMMERCIAL ADVISORS, LLC 2) NON-IVESTMENT RELATED 3) 8406 N. COYOTE VIEW CT TUCSON, AZ 85745 4) REAL ESTATE 5) MANAGER/OWNER 6) 04-13-2016 7) 80 HOURS/MONTH 8) 4 HOURS/DAY 9) MANAGER/EMPLOYEE 1) AZ FLOORING SUPPLY, LLC 2) NON-INVESTMENT RELATED 3) 8406 N. COYOTE VIEW CT TUCSON, AZ 85745 4) FLOORING SUPPLY 5) MANAGER/MEMBER 6) 03-04-2019 7) 5 HOURS/MONTH 8) 1/2 HOUR/WEEK 9) MANAGER/SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan C Pantoja'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

January 5, 2023 - Present

FINANCIAL PLANNING FIRST, LLC

RIA

CRD#: 319273

Tucson, AZ

Past

September 10, 2014 - December 31, 2022

IMUS WILKINSON INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 157457

TUCSON, AZ

Past

March 11, 2013 - March 5, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

TUCSON, AZ

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

Arizona
(1/5/2023)

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 65

Date: 8/23/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/31/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 3/9/2013

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FINANCIAL PLANNING FIRST, LLC

CRD#: 319273 / SEC#: 801-134756

Arizona

Registered Investment Advisory firm - (10/12/2022 Approved)

California

Registered Investment Advisory firm - (1/1/2023 Approved)

Idaho

Registered Investment Advisory firm - (12/14/2022 Approved)

New York

Registered Investment Advisory firm - (12/8/2022 Approved)

Texas

Registered Investment Advisory firm - (10/17/2022 Conditional Restricted)

Washington

Registered Investment Advisory firm - (5/31/2023 Approved)

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Contact information

Main Address

3567 E Sunrise Dr Ste B237, Tuscon, AZ 85718

Mailing Address

Phone number

(520) 314-1301

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A - FIRM BROCHURE - FPF (10/14/2025)

Regulatory assets under management

Total Number of Accounts	815
AUM (Assets Under Management)	$ 109,479,671

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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Juan C. Pantoja

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan C Pantoja's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL PLANNING FIRST, LLC

IMUS WILKINSON INVESTMENT MANAGEMENT, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/23/2014

Series 63

Date: 7/31/2013

Series 6

Date: 3/9/2013

Current Firm

FINANCIAL PLANNING FIRST, LLC

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL PLANNING FIRST, LLC

TRUST BUT VERIFY

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