JG
Jacob Genens
UNITED CAPITAL FINANCIAL ADVISORS
ROCKFORD, IL 61114
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CRD#: 7276447
JG
Professional summary
Jacob Genens is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Rockford, Illinois and INTEGRITY ALLIANCE, LLC. located in Rockford, Illinois.
Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Jacob has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO and SIE 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.
1.UNITED CAPITAL FINANCIAL ADVISORS POSITION: Employee NATURE: Financial planning and wealth management INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/15/2024 ADDRESS: 6876 Spring Creek Rd, Suite 114, Rockford IL 61114, United States DESCRIPTION: - Assist advisors with client meetings and offloads - Create financial plans - Review client accounts and asset allocations - Client Servicing and data management - Open new accounts and prepare paperwork - Communicate with clients and set appointments - Performance reporting
CRS (Client Relationship Summary) - RIA
Click below to view Jacob Genens'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®
NoneExperience
Current
April 16, 2024 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 6876 Spring Creek Rd Ste 114, Rockford, IL 61114RIA
CRD#: 134600
ROCKFORD, IL
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 6876 Spring Creek Rd Ste 114, Rockford, IL 61114RIA
BD
CRD#: 139627
Rockford, IL
Past
July 1, 2024 - November 3, 2025
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
Rockford, IL
Past
February 4, 2022 - December 20, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
ROCKFORD, IL
Past
October 2, 2020 - December 20, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
ROCKFORD, IL
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".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)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.RR
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
IAR
Illinois(4/16/2024)
RR
Illinois(11/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 10/2/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600Rockford, IL 61114TRUST BUT VERIFY
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