Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jason? Claim Your ProfileJason Topi is a financial advisor with over 16 years of experience in the financial services industry. Jason has a strong background in investment management and financial planning, and is committed to providing personalized advice and strategies to help clients achieve their financial goals. Jason is currently registered with Robert W. Baird & Co. Inc. and Wealthpenn.comllc. Jason has a wide range of experience, including working with high-net-worth individuals, families, and businesses. Jason is dedicated to providing his clients with the highest level of service and expertise.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
NY
12/07/2018 - Present
Robert W. Baird & Co. Inc. (New Hartford NY)
NY
11/10/2009 - 12/13/2018
M. GRIFFITH INVESTMENT SERVICES, INC. (NEW HARTFORD NY)
NY
05/01/2009 - 11/10/2009
HSBC SECURITIES (USA) INC. (WHITESBORO NY)
NY
02/06/2009 - 04/24/2009
LEIGH BALDWIN & CO., LLC (UTICA NY)
NY
08/16/2007 - 02/06/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (UTICA NY)
BOTH
Issued 09/22/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/20/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/02/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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