Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jason? Claim Your ProfileJason Farouk is an investment professional with over 10 years of experience in the financial services industry. Jason is registered as a broker-dealer and investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Prior to joining Merrill Lynch, Jason has experience with a variety of financial institutions including Citizens Securities, Inc., Santander Securities LLC and J.P. Morgan Securities LLC. Jason holds the Series 6, 7, 9, 10, 63 and 66 securities licenses. Jason is also a registered investment advisor representative in the state of North Carolina. Jason is affiliated with The Vanguard Group, Inc., which is the parent company of Vanguard Marketing Corporation.
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
NC
04/14/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Charlotte NC)
NC
10/01/2021 - 02/24/2022
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
MA
07/01/2019 - 08/30/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MARSHFIELD MA)
MA
12/12/2017 - 05/15/2019
CITIZENS SECURITIES, INC. (CAMBRIDGE MA)
RI
01/13/2017 - 11/27/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LINCOLN RI)
MA
07/07/2015 - 12/07/2016
SANTANDER SECURITIES LLC (SEEKONK MA)
NY
10/01/2012 - 04/29/2015
J.P. MORGAN SECURITIES LLC (NEWBURGH NY)
NY
08/17/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (MIDDLETOWN NY)
BOTH
Issued 04/03/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/25/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/08/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/17/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/23/2017
Series 7 - General Securities Representative Examination
BC
Issued 08/16/2011
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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