Justin Maffucci

103 ADVISORY GROUP

Chicago, IL 60604

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CRD#: 6885204

Professional summary

Justin Maffucci, who also goes by Justin Robert Maffucci, is a registered financial advisor currently at 103 ADVISORY GROUP located in Chicago, Illinois.

Justin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Justin has worked at 2 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Justin Robert Maffucci

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 Justin Maffucci'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

November 30, 2023 - Present

103 ADVISORY GROUP

Office #1: 231 S. Lasalle Street 21st Floor, Chicago, IL 60604

RIA

CRD#: 314694

Chicago, IL

Past

March 6, 2018 - April 19, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FLEMINGTON, NJ

Past

February 14, 2018 - April 19, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

FLEMINGTON, NJ

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".

103 ADVISORY GROUP

103 ADVISORY GROUP | 103 ADVISORY GROUP LLC

CRD#: 314694 / SEC#: 801-123666

RIA

Registered Investment Advisory firm - (4/8/2022 Approved)

Illinois

Registered Investment Advisory firm - (4/13/2022 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

Illinois
(11/30/2023)

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: 11/30/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/2/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/19/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/14/2018

General Securities Representative Examination

Current Firm

103 ADVISORY GROUP

103 ADVISORY GROUP | 103 ADVISORY GROUP LLC

CRD#: 314694 / SEC#: 801-123666

RIA

Registered Investment Advisory firm - (4/8/2022 Approved)

Illinois

Registered Investment Advisory firm - (4/13/2022 Terminated)

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Contact information

Main Address

231 S. Lasalle Street 21st Floor, Chicago, IL 60604

Mailing Address

Phone number

(312) 543-8759

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

103 ADVISORY GROUP ADV PART 2A AND 2B (2/14/2025)

Regulatory assets under management

Total Number of Accounts	74
AUM (Assets Under Management)	$ 224,762,592

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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Advisor Monitoring

Firm Stability Insights

Justin Maffucci

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Justin Maffucci's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

103 ADVISORY GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 11/30/2023

Series 66

Date: 3/2/2018

SIE

Date: 4/19/2018

Series 7

Date: 2/14/2018

Current Firm

103 ADVISORY GROUP

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

103 ADVISORY GROUP

TRUST BUT VERIFY

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