Unclaimed
Jason Arata is a financial professional with over 15 years of experience in the financial services industry. He is currently registered with New York Life Investment Management LLC, where he is a Registered Representative. Previously, Jason worked for PRINCIPAL FUNDS DISTRIBUTOR, INC. and ADP BROKER-DEALER, INC. Jason is licensed to provide investment advisory services in California, Idaho, Nevada, and Oregon. He holds the Series 7 and Series 66 securities licenses, as well as the SIE exam. Jason specializes in portfolio management for individuals, businesses, investment companies, and pooled investment vehicles.
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.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
CA
02/27/2024 - Present
NEW York Life Investment Management LLC (SACRAMENTO CA)
CA
11/07/2013 - 11/01/2023
PRINCIPAL FUNDS DISTRIBUTOR, INC. (FOLSOM CA)
NJ
01/22/2013 - 10/24/2013
ADP BROKER-DEALER, INC. (ROSELAND NJ)
CA
01/07/2008 - 01/11/2013
PRINCIPAL FUNDS DISTRIBUTOR, INC. (EL DORADO HILLS CA)
CA
09/22/2006 - 06/08/2007
M.L. STERN & CO., LLC. (SACRAMENTO CA)
BOTH
Issued 10/09/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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