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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jason? Claim Your ProfileJason Douglas Lock is a financial advisor with over 30 years of experience in the industry. Jason is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously held positions with BANC OF AMERICA INVESTMENT SERVICES, INC., WELLS FARGO INVESTMENTS, LLC, CAL FED INVESTMENTS, INVEST FINANCIAL CORPORATION, and THE PRUDENTIAL INSURANCE COMPANY OF AMERICA. Jason holds a variety of licenses and certifications, including Series 3, 4, 6, 7, 9, 10, 24, 52, 53, and 63. Jason provides a variety of financial services to individuals, businesses, and institutions. Jason's expertise includes portfolio management, financial planning, and retirement planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
11/02/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PASADENA CA)
CA
09/15/2005 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (PASADENA CA)
CA
08/07/2002 - 09/19/2005
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
01/31/1997 - 08/22/2002
CAL FED INVESTMENTS (SACRAMENTO CA)
WI
07/21/1992 - 01/31/1997
INVEST FINANCIAL CORPORATION (APPLETON WI)
NJ
12/14/1990 - 08/03/1992
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
12/14/1990 - 08/03/1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 09/26/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/23/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/03/2006
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/13/2006
Series 4 - Registered Options Principal Examination
BC
Issued 11/23/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/2011
Series 3 - National Commodity Futures Examination
BC
Issued 11/17/1994
Series 7 - General Securities Representative Examination
BC
Issued 12/11/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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