Frederick J. Pieracci

J K R & COMPANY

Laguna Niguel, CA

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CRD#: 725725

Professional summary

Frederick James Pieracci, who also goes by Fred Pieracci, Frederick James Pieracci Mr., is a registered financial advisor currently at J K R & COMPANY, INC. located in Laguna Niguel, California.

Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Frederick has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 22 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fred Pieracci | Frederick James Pieracci Mr.

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.

Business Name: Cape Star Company dba Cape Star Company Insurance Services Investment Related: Yes Address: 30882 Westgreen Dr Laguna Niguel CA 92677 Nature of Business: Insurance Position, Title or Relationship: Owner, President Start Date: 2/1/1978 Hours per month: 31% - 40% (49 - 64 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: sales and service of life insurance products, non-qualified deferred compensation Business Name: NFP Investment Related: Yes Address: 120 Vantis, Suite 400 Aliso Viejo CA 92656 Nature of Business: Investment Advisory services through an independent outside RIA Position, Title or Relationship: Independent Contractor Start Date: 4/4/2016 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Investment advisory services JKR & Co., Inc. Investment Advisory business, IAR of the firm as an independent contractor. Start Date 9/91/2023 approximately 30% a month around 30 hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick James Pieracci's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Frederick James Pieracci'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

September 1, 2023 - Present

J K R & COMPANY, INC.

RIA

CRD#: 8040

Laguna Niguel, CA

Current

October 4, 2023 - Present

J K R & COMPANY, INC.

Office #1: 7145 Woodley Avenue, Van Nuys, CA 91406

RIA

CRD#: 8040

Van Nuys, CA

Past

September 5, 2023 - October 20, 2023

WEALTHSPIRE RETIREMENT ADVISORY

RIA

CRD#: 121254

ALISO VIEJO, CA

Past

December 12, 2016 - October 3, 2023

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Aliso Viejo, CA

Past

November 28, 2016 - September 5, 2023

WEALTHSPIRE RETIREMENT ADVISORY

RIA

CRD#: 121254

ALISO VIEJO, CA

Past

April 18, 2016 - December 12, 2016

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Aliso Viejo, CA

Past

August 8, 2014 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

Aliso Viejo, CA

Past

August 8, 2014 - December 12, 2016

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Aliso Viejo, CA

Past

March 2, 2006 - August 12, 2014

FINANCIAL TELESIS INC

RIA

CRD#: 31012

ALISO VIEJO, CA

Past

March 2, 2006 - August 12, 2014

FINANCIAL TELESIS INC

CRD#: 31012

ALISO VIEJO, CA

Past

October 31, 2005 - March 6, 2006

OSAIC SERVICES, INC.

RIA

CRD#: 133763

LAGUNA HILLS, CA

Past

October 31, 2005 - March 6, 2006

OSAIC SERVICES, INC.

CRD#: 133763

LAGUNA HILLS, CA

Past

April 30, 2001 - October 31, 2005

SENTRA SECURITIES CORPORATION

RIA

CRD#: 10249

LAGUNA HILLS, CA

Past

October 2, 2000 - October 31, 2005

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

October 29, 1996 - December 31, 1998

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

September 20, 1984 - September 28, 2000

J K R & COMPANY, INC.

CRD#: 8040

VAN NUYS, CA

Past

March 29, 1982 - September 30, 1985

ALL SERVICES FINANCIAL CENTER

CRD#: 7832

Past

March 18, 1981 - November 15, 1981

LETTERMAN TRANSACTION SERVICES, INC.

CRD#: 6477

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

Arizona
(10/30/2023)

IAR

California
(9/1/2023)

California
(10/4/2023)

Massachusetts
(3/12/2024)

Washington
(6/2/2025)

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

IAR

Series 65

Date: 4/13/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/20/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/2/1983

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 3/16/1981

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/8/2005

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

J K R & COMPANY, INC.

J K R & COMPANY, INC. | JENKS, KENNIFER, RICHARDSON & COMPANY, INC. | JENKS, KENNIFER & RICHARDSON, INCORPORATED

CRD#: 8040 / SEC#: , 8-24191

California

Registered Investment Advisory firm - SEC (12/7/2001 Approved)

New York

Registered Investment Advisory firm - SEC (8/26/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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

7145 Woodley Ave, Van Nuys, CA 91406

Mailing Address

7145 Woodley Ave, Van Nuys, CA 91406

Phone number

(818) 781-7721

Established

California since 07/30/1979

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (10 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
ELLIS, JAMES ANDREW	PRESIDENT / FINOP / CCO	2395774
RICHARDSON, JAMES KEMP	VICE PRESIDENT	375759

Regulatory assets under management

Total Number of Accounts	213
AUM (Assets Under Management)	$ 113,298,848

Disclosures

Regulatory Event	1
Arbitration	1

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Frederick J. Pieracci

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick James Pieracci's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Frederick James Pieracci's CRS (Customer Relationship Summary).

Certified licenses

Experience

J K R & COMPANY, INC.

WEALTHSPIRE RETIREMENT ADVISORY

KESTRA INVESTMENT SERVICES, LLC

WEALTHSPIRE RETIREMENT ADVISORY

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

FINANCIAL TELESIS INC

FINANCIAL TELESIS INC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

MUTUAL SERVICE CORPORATION

J K R & COMPANY, INC.

ALL SERVICES FINANCIAL CENTER

LETTERMAN TRANSACTION SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/13/2001

Series 63

Date: 7/20/1998

SIE

Date: 10/1/2018

Series 6

Date: 5/2/1983

Series 22

Date: 3/16/1981

Series 26

Date: 11/8/2005

FINRA

Current Firm

J K R & COMPANY, INC.

Contact information

FINRA licenses (10 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

J K R & COMPANY, INC.

TRUST BUT VERIFY

Contact information

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