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JC

John J. Chamorro

Some features on this profile are disabled
CRD#: 7313345
JC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Jader Chamorro, who also goes by John Chamorro, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2021. John had worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Chamorro

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 11, 2023 - January 16, 2026

US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC

RIA
CRD#: 299885
Hopewell Jct, NY
Past

February 11, 2023 - January 16, 2026

US CAPITAL GLOBAL SECURITIES, LLC

BD
CRD#: 169544
SAN FRANCISCO, CA
Past

June 21, 2022 - January 31, 2023

KENMAR SECURITIES, LLC

BD
CRD#: 171793
NEW YORK, NY
Past

September 9, 2021 - October 15, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
NEW YORK, NY
Past

September 3, 2021 - October 15, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
NEW YORK, NY
Past

April 12, 2021 - July 8, 2021

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
Pearl River, NY
Past

January 11, 2021 - July 8, 2021

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
PEARL RIVER, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/4/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/25/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/17/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/11/2021
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/9/2020
Securities Industry Essentials Examination

Current Firm

UC
US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC
US CAPITAL GLOBAL WEALTH MANAGEMENT LLC | US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC

CRD#: 299885 / SEC#:

California
Registered Investment Advisory firm - (3/27/2019 Approved)
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Contact information

Main Address
1 Ferry Building Suite 201, San Francisco, CA 94111
Mailing Address
Phone number
(917) 923-9649
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts50
AUM (Assets Under Management)$ 24,500,000

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.

Company Information

US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC

CRD#: 299885

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