Jesus A. Vasquez

VASQUEZ FINANCIAL CONSULTING LLC

Carmel, IN

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CRD#: 6968297

Professional summary

Jesus Arnoldo Vasquez, who also goes by Jesse Vasquez, Jesus Vasquez, is a registered financial advisor currently at VASQUEZ FINANCIAL CONSULTING LLC located in Carmel, Indiana.

Jesus is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Jesus has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jesse Vasquez | Jesus Vasquez

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) Owner of Vasquez Group, LLC; Tax Preparer and Business Consultant; Located at 5255 N. Winthrop Avenue, Box #310, Indianapolis, IN 46220, as of 06/2009; Approximately 10% of time spent during securities trading hours per month; Not investment related. 2) Owner of Vasquez Insurance Agency, LLC; Insurance Producer; Located at 5255 N. Winthrop Avenue, Box #310, Indianapolis IN 46220, as of 03/2023; Independent Life & Long-Term Care Insurance offered through Ash Brokerage and InSource, Inc.; Approximately 10% of time spent during securities trading hours per month; Not investment related. 3) Employee of Carmel Clay Schools; Instructional Assistant; Located at 5201 E. Main Street, Carmel, IN 46033; as of 08/2023; Functional Academic Program support staff; Approximately 50% of time spent during securities hours per month; Not investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jesus Arnoldo Vasquez's 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 4, 2022 - Present

VASQUEZ FINANCIAL CONSULTING LLC

RIA

CRD#: 317530

Carmel, IN

Past

December 18, 2021 - June 27, 2022

ARCHER INVESTMENT CORPORATION

RIA

CRD#: 136403

CARMEL, IN

Past

August 21, 2020 - October 8, 2021

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

INDIANAPOLIS, IN

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

Indiana
(1/4/2022)

IAR

Texas
(1/5/2022)

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: 12/18/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/13/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/21/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/31/2019

Securities Industry Essentials Examination

Current Firm

VASQUEZ FINANCIAL CONSULTING LLC

CRD#: 317530 / SEC#:

Indiana

Registered Investment Advisory firm - (1/4/2022 Approved)

Maryland

Registered Investment Advisory firm - (12/15/2022 Terminated)

Texas

Registered Investment Advisory firm - (1/5/2022 Approved)

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).

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Contact information

Main Address

Carmel, IN

Mailing Address

11590 North Meridian Street Suite 230, Carmel, IN 46032

Phone number

(317) 281-7616

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	55
AUM (Assets Under Management)	$ 6,555,443

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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Jesus A. Vasquez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jesus Arnoldo Vasquez's CRS (Customer Relationship Summary).

Certified licenses

Experience

VASQUEZ FINANCIAL CONSULTING LLC

ARCHER INVESTMENT CORPORATION

COMMONWEALTH FINANCIAL NETWORK

State Registrations and Notice Filings

Exams

Series 66

Date: 12/18/2021

Series 63

Date: 10/13/2020

Series 7TO

Date: 8/21/2020

SIE

Date: 5/31/2019

Current Firm

VASQUEZ FINANCIAL CONSULTING LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VASQUEZ FINANCIAL CONSULTING LLC

TRUST BUT VERIFY

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