John Cadena

SAN BLAS ADVISORY

Independence, MO

Some features on this profile are disabled

CRD#: 712192

Professional summary

John Cadena is a registered financial advisor currently at SAN BLAS ADVISORY, INC. located in Independence, Missouri and SAN BLAS SECURITIES LLC located in Chicago, Illinois.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. John has worked at 14 firms and has passed the Series 63, Series 65, Series 99TO, Series 79TO, Series 62, Series 7TO, SIE, Series 7, Series 4, Series 24, Series 10, Series 9 and Series 8 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.

Self employed compliance consultant to the securities industry. Owner of JC Regulatory Consulting LLC a single member LLC. Established June 2024. Not investment related. Work from home. 10-20 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Cadena'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 5, 2026 - Present

SAN BLAS ADVISORY, INC.

RIA

CRD#: 296929

Independence, MO

Current

December 26, 2025 - Present

SAN BLAS SECURITIES LLC

Office #1: 233 S Wacker Dr Suite 4400, Chicago, IL 60606

CRD#: 290605

CHICAGO, IL

Past

July 1, 2024 - September 19, 2025

C2M SECURITIES, LLC

CRD#: 38924

RICHMOND, VA

Past

January 16, 2020 - December 3, 2021

ESSEX SECURITIES LLC

CRD#: 46605

JERSEY CITY, NJ

Past

October 9, 2012 - September 23, 2018

NETREX CAPITAL MARKETS, LLC

CRD#: 160529

ST. PETERSBURG, FL

Past

June 10, 2008 - June 3, 2013

RISE FINANCIAL SERVICES, LLC

CRD#: 146103

ST. PETERSBURG, FL

Past

May 23, 2002 - February 17, 2006

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

August 20, 1999 - June 14, 2000

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

April 4, 1994 - August 30, 1999

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

MINNEAPOLIS, MN

Past

October 13, 1992 - April 11, 1994

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

KANSAS CITY, MO

Past

March 23, 1992 - October 6, 1992

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

MINNEAPOLIS, MN

Past

January 30, 1987 - September 6, 1990

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

September 4, 1986 - January 20, 1987

LOWELL H. LISTROM & COMPANY INC.

CRD#: 6336

Past

November 2, 1983 - September 4, 1984

B.C. CHRISTOPHER SECURITIES CO.

CRD#: 60

Past

May 31, 1983 - December 20, 1983

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

July 24, 1980 - August 18, 1981

LOWELL H. LISTROM & COMPANY INC.

CRD#: 6336

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Missouri
(1/2/2026)

IAR

Missouri
(1/5/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/18/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/24/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 62

Date: 1/2/2023

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 7TO

Date: 12/1/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/23/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 1/2/2023

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/1/2022

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 12/1/2022

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/1/2022

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 10/5/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SAN BLAS ADVISORY, INC.

ES ADVISORY | SAN BLAS FINANCIAL | SAN BLAS ADVISORY, INC. | ES ADVISORY GROUP

CRD#: 296929 / SEC#:

Florida

Registered Investment Advisory firm - (1/17/2020 Approved)

Georgia

Registered Investment Advisory firm - (2/11/2019 Approved)

Idaho

Registered Investment Advisory firm - (5/6/2020 Approved)

Illinois

Registered Investment Advisory firm - (9/7/2021 Approved)

Indiana

Registered Investment Advisory firm - (2/17/2020 Approved)

Michigan

Registered Investment Advisory firm - (5/20/2020 Approved)

Missouri

Registered Investment Advisory firm - (3/4/2020 Approved)

North Carolina

Registered Investment Advisory firm - (11/19/2019 Approved)

Ohio

Registered Investment Advisory firm - (2/25/2020 Approved)

South Carolina

Registered Investment Advisory firm - (11/20/2019 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

3424 Peachtree Road Ne Suite 2200, Atlanta, GA 30326

Mailing Address

Phone number

(404) 704-0406

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	446
AUM (Assets Under Management)	$ 133,651,248

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

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John Cadena

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Cadena's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAN BLAS SECURITIES LLC

C2M SECURITIES, LLC

ESSEX SECURITIES LLC

NETREX CAPITAL MARKETS, LLC

RISE FINANCIAL SERVICES, LLC

RAYMOND JAMES & ASSOCIATES, INC.

GUNNALLEN FINANCIAL, INC

BIRCHTREE FINANCIAL SERVICES LLC

UMB FINANCIAL SERVICES, INC.

BIRCHTREE FINANCIAL SERVICES LLC

AMERIPRISE ADVISOR SERVICES, INC.

LOWELL H. LISTROM & COMPANY INC.

B.C. CHRISTOPHER SECURITIES CO.

E. F. HUTTON & COMPANY INC

LOWELL H. LISTROM & COMPANY INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/18/2024

Series 65

Date: 7/24/2021

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 62

Date: 1/2/2023

Series 7TO

Date: 12/1/2022

SIE

Date: 9/23/2018

Series 7

Date: 7/19/1980

Series 4

Date: 1/2/2023

Series 24

Date: 12/1/2022

Series 10

Date: 12/1/2022

Series 9

Date: 12/1/2022

Series 8

Date: 10/5/1995

FINRA

Nasdaq Stock Market

Current Firm

SAN BLAS ADVISORY, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SAN BLAS ADVISORY, INC.

TRUST BUT VERIFY

Similar Advisors