Jesse Schrock

FORM WEALTH ADVISORS

Lake Geneva, WI 53147-4881

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CRD#: 7407967

Professional summary

Jesse Schrock is a registered financial advisor currently at FORM WEALTH ADVISORS, LLC located in Lake Geneva, Wisconsin.

Jesse is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Jesse has worked at 3 firms and has passed the Series 66, Series 7TO 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.

FORM Wealth Advisors, 431 Geneva National Avenue South, Lake Geneva, Wisconsin; Investment Related; Advisors;DBA Name/Support Company (non-owner); Since 07/07/2021; 160 hrs/mo devoted and during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jesse Schrock'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

July 24, 2024 - Present

FORM WEALTH ADVISORS, LLC

Office #1: 431 Geneva National Ave S, Lake Geneva, WI 53147-4881

RIA

CRD#: 326519

Lake Geneva, WI

Past

December 17, 2021 - October 3, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Lake Geneva, WI

Past

November 1, 2021 - October 3, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

LAKE GENEVA, WI

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".

FORM WEALTH ADVISORS, LLC

FORM WEALTH ADVISOR | FORM WEALTH ADVISORS, LLC

CRD#: 326519 / SEC#: 801-131059

RIA

Registered Investment Advisory firm - (9/25/2024 Approved)

Wisconsin

Registered Investment Advisory firm - (9/30/2024 Terminated)

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).

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.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(7/24/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/16/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/1/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/10/2021

Securities Industry Essentials Examination

Current Firm

FORM WEALTH ADVISORS, LLC

FORM WEALTH ADVISOR | FORM WEALTH ADVISORS, LLC

CRD#: 326519 / SEC#: 801-131059

RIA

Registered Investment Advisory firm - (9/25/2024 Approved)

Wisconsin

Registered Investment Advisory firm - (9/30/2024 Terminated)

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Contact information

Main Address

431 Geneva National Ave S, Lake Geneva, WI 53147-4881

Mailing Address

Phone number

(262) 686-3005

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM WEALTH ADV PART 2A 2B BROCHURE (9/17/2025)

Regulatory assets under management

Total Number of Accounts	2,617
AUM (Assets Under Management)	$ 932,320,041

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.

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Jesse Schrock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jesse Schrock's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORM WEALTH ADVISORS, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

FORM WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/16/2021

Series 7TO

Date: 11/1/2021

SIE

Date: 9/10/2021

Current Firm

FORM WEALTH ADVISORS, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FORM WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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