Jorge R. Friguls

Some features on this profile are disabled

CRD#: 6030361

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jorge Ricardo Friguls, AIF®, who also goes by Jorge Friguls, was a registered financial professional .

Jorge is a previously registered financial professional and started their career in finance in 2012. Jorge had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jorge Friguls

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.

Theorem, LLC, Partner, any and all duties associated with the entity will be indirectly through his wife. He will have ownership interest and may fund certain expenses. Address: 7901 4th Street N, St. Petersburg, FL 33702. Start date March 4, 2022. It is not investment related. The purpose of the entity will be a conduit to manage potential compensation from literary works or other lifestyle media and products. Neither purpose will engage, explicitly or implicitly, in providing investment advice or activities that would require a securities or advisory license. 2 hours per week outside of securities trading hours. Compensation: None

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Past

July 10, 2024 - October 15, 2025

MARINER INSTITUTIONAL, LLC

RIA

CRD#: 111964

WINTER PARK, FL

Past

April 18, 2017 - July 25, 2022

NEWPORT GROUP CONSULTING, LLC

RIA

CRD#: 140944

LAKE MARY, FL

Past

June 22, 2012 - December 21, 2017

NEWPORT GROUP SECURITIES, INC.

RIA

CRD#: 29722

Lake Mary, FL

Past

March 14, 2012 - July 25, 2022

NEWPORT GROUP SECURITIES, INC.

CRD#: 29722

Lake Mary, 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".

MARINER INSTITUTIONAL, LLC

CRD#: 111964 / SEC#: 801-58253

RIA

Registered Investment Advisory firm - (1/10/2001 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/20/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/13/2012

General Securities Representative Examination

Current Firm

MARINER INSTITUTIONAL, LLC

CRD#: 111964 / SEC#: 801-58253

RIA

Registered Investment Advisory firm - (1/10/2001 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

531 W Morse Blvd Suite 200, Winter Park, FL 32789

Mailing Address

Phone number

(844) 442-6326

Established

Firm type

Fiscal year end

# of Employees

113

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARINER INSTITUTIONAL FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	64
AUM (Assets Under Management)	$ 2,543,100,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jorge R. Friguls

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MARINER INSTITUTIONAL, LLC

NEWPORT GROUP CONSULTING, LLC

NEWPORT GROUP SECURITIES, INC.

NEWPORT GROUP SECURITIES, INC.

Primary Firm SEC Registration

MARINER INSTITUTIONAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/20/2012

SIE

Date: 10/1/2018

Series 7

Date: 3/13/2012

Current Firm

MARINER INSTITUTIONAL, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MARINER INSTITUTIONAL, LLC

TRUST BUT VERIFY

Similar Advisors