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GA
CFP · ChFC
GA
CFP · ChFC

George Arocha

Madison Avenue Securities, LLC
45 Years of Experience
Bourbonnais, IL
19 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

George Arocha is a CFP, ChFC-designated registered investment advisor at Madison Avenue Securities, LLC, based in Bourbonnais, IL, with 45 years of industry experience. George is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 14,099 clients with $2B in assets under management.

Madison Avenue Securities, LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
246 advisors
Number of Clients
14,099 clients
Average Client Portfolio
$143K average
Assets Under Management
$2.0B

Fee Structure

Minimum Investment:$10K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum fee rates vary by program, up to 2.00% for Fee Plus Transaction, AE Wealth Management, and Envestnet programs, and up to 2.25% for the Standard and Low-Minimum Wrap programs. Fees are negotiable and set by individual representatives.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

586 Latham Dr, Suite 1, Bourbonnais, IL, 60914

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History

Regulatory History (19)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
August 2018
Final
Judgment / Lien
October 2017
Judgment / Lien
April 2014
Judgment / Lien
January 2014
Customer Dispute
August 2012
Settled
Judgment / Lien
July 2012
Judgment / Lien
June 2012
Customer Dispute
November 2011
Settled
Customer Dispute
October 2011
Settled
Customer Dispute
October 2011
Settled
Customer Dispute
September 2011
Settled
Customer Dispute
September 2011
Settled
Customer Dispute
September 2011
Settled
Judgment / Lien
October 2009
Judgment / Lien
August 2007
Judgment / Lien
June 2007
Judgment / Lien
January 2005
Judgment / Lien
January 2005
Judgment / Lien
January 2005
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

George is the owner, president, consultant, and insurance agent/producer at GA Financial Advisors, Inc., offering financial planning services and selling financial products. These products include life and health insurance, fixed annuities, and long-term care insurance, taking about 10-20% of George's time.

Employment History
Current Registrations
Madison Avenue Securities, LLC
March 2009 - Present · 17 yrs 7 mos
Madison Avenue Securities, LLCBroker
May 2006 - Present · 20 yrs 5 mos
Previous Registrations
Madison Avenue Advisors, INC.
May 2006 - March 2009 · 2 yrs 10 mos
Financial Planning
May 2000 - December 2003 · 3 yrs 7 mos
Usallianz Securities, INC.Broker
January 1998 - May 2006 · 8 yrs 4 mos
Dreher & Associates, INC.Broker
February 1991 - January 1998 · 6 yrs 11 mos
New England SecuritiesBroker
March 1989 - December 1990 · 1 yr 9 mos
Dreher & Associates, INC.Broker
June 1987 - January 1998 · 10 yrs 7 mos
W. S. Griffith & CO., INC.Broker
February 1984 - June 1987 · 3 yrs 4 mos
Equico Securities, INC.Broker
January 1984 - January 1984 · 0 mos
The Equitable Life Assurance Society of the United StatesBroker
May 1981 - January 1984 · 2 yrs 8 mos
State Registrations4 states
AZILINWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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