Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jason? Claim Your ProfileJason Guttenberg is a financial advisor at Wells Fargo Clearing Services, LLC. Jason has over 30 years of experience in the financial services industry. He is a registered representative and investment advisor representative in Nevada and other states. Jason holds Series 7, 3, 9, 10, 31 and 63 licenses, as well as the SIE and Series 65. Previously, Jason worked at UBS Financial Services Inc. and Morgan Stanley. Jason is committed to providing his clients with personalized financial advice and investment strategies.
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
NV
08/14/2015 - Present
Wells Fargo Clearing Services, LLC (LAS VEGAS NV)
NV
11/24/2008 - 07/27/2015
UBS FINANCIAL SERVICES INC. (LAS VEGAS NV)
NV
04/02/2007 - 11/25/2008
MORGAN STANLEY & CO. INCORPORATED (LAS VEGAS NV)
NV
09/03/1999 - 04/02/2007
MORGAN STANLEY DW INC. (LAS VEGAS NV)
NY
04/15/1996 - 09/10/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
01/23/1991 - 04/16/1996
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NY
05/30/1989 - 02/06/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/19/1989 - 05/01/1989
J. W. GANT & ASSOCIATES, INC.
IA
Issued 05/29/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/09/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/25/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/2004
Series 3 - National Commodity Futures Examination
BC
Issued 04/17/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 04/15/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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