Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jason? Claim Your ProfileJason R Smith is a financial advisor with over 10 years of experience in the financial services industry. Jason is registered with Wells Fargo Clearing Services, LLC and holds the Series 6, 7, 63, and 66 securities licenses. Jason specializes in providing financial planning, portfolio management, and investment consulting services to both individual and institutional clients. Jason has a history of working with various clients including high-net-worth individuals, corporations, and charitable organizations.
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.
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.
Investment consulting services to institutional clients
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
08/02/2021 - Present
Wells Fargo Clearing Services, LLC (ROSEVILLE CA)
CA
01/21/2021 - 06/28/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RANCHO CORDOVA CA)
CA
08/23/2018 - 11/10/2020
WELLS FARGO CLEARING SERVICES, LLC (SACRAMENTO CA)
CA
07/01/2017 - 06/05/2018
HORACE MANN INVESTORS, INC. (Antelope CA)
BOTH
Issued 09/14/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/12/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/2018
Series 7 - General Securities Representative Examination
BC
Issued 06/30/2017
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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