GA
George E. Arocha
MADISON AVENUE SECURITIES
Bourbonnais, IL 60914
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CRD#: 729456
GA
Professional summary
George Edward Arocha is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Bourbonnais, Illinois.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. George has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22, Series 6 and Series 24 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.
NAME OF BUSINESS: GA FINANCIAL ADVISORS, INC.
POSITION: OWNER (ACTIVE), PRESIDENT, CONSULTANT, INSURANCE AGENT/PRODUCER NATURE: FINANCIAL PLANNING SERVICES INCLUDING, BUT NOT LIMITED TO THE SALE OF FINANCIAL PRODUCTS SUCH AS: LIFE & HEALTH INSURANCE, FIXED ANNUITIES, AND LTC INSURANCE. INVESTMENT RELATED: YES NUMBER OF HOURS: 30 INVESTMENT RELATED HOURS: 25
START DATE: 10/02/2006
ADDRESS: 586 WILLIAM LATHAM DRIVE, SUITE 1, BOURBONNAIS IL 60914
DESCRIPTION: OFFICE MANAGEMENT, MEETING WITH CLIENTS & PROSPECTIVE CLIENTS, PROVIDING ANSWERS TO CLIENT QUESTIONS AND/OR INFORMATION RELATED TO THEIR FINANCIAL SITUATION, FINANCIAL PLANNING SERVICES INCLUDING: DATA GATHERING; ESTABLISHING OBJECTIVES, RISK TOLERANCE, AND TIME HORIZON; DEVELOPING RECOMMENDATIONS; IMPLEMENTATION OF RECOMMENDATIONS, INCLUDING BUT NOT LIMITED TO THE SALE OF FINANCIAL PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view George Edward Arocha's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view George Edward Arocha'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
March 25, 2009 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 586 Latham Dr Suite 1, Bourbonnais, IL 60914RIA
BD
CRD#: 23224
Bourbonnais, IL
Current
May 19, 2006 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 586 Latham Dr Suite 1, Bourbonnais, IL 60914RIA
BD
CRD#: 23224
Bourbonnais, IL
Past
May 24, 2006 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
RIA
CRD#: 137461
BOURBONNAIS, IL
Past
May 8, 2000 - December 31, 2003
FINANCIAL PLANNING
RIA
CRD#: 123185
LANSING, IL
Past
January 5, 1998 - May 31, 2006
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
February 28, 1991 - January 12, 1998
DREHER & ASSOCIATES, INC.
BD
CRD#: 8665
Past
March 22, 1989 - December 13, 1990
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
June 1, 1987 - January 12, 1998
DREHER & ASSOCIATES, INC.
BD
CRD#: 8665
OAKBROOK TERRACE, IL
Past
February 13, 1984 - June 3, 1987
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
Past
January 17, 1984 - January 27, 1984
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Past
May 4, 1981 - January 27, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
RR
Arizona(5/19/2006)
RR
Illinois(5/19/2006)
IAR
Illinois(3/25/2009)
RR
Indiana(5/19/2006)
RR
Wisconsin(5/19/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 2/17/1998
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| 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.
