Jason W. Reese
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jason Walter Reese was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1994. Jason had worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2006 - April 27, 2007
SIENA CAPITAL HOLDINGS, LLC
November 8, 2001 - March 30, 2024
IMPERIAL CAPITAL ASSET MANAGEMENT LLC
November 4, 1997 - May 2, 2023
IMPERIAL CAPITAL, LLC
January 7, 1994 - December 31, 1997
DABNEY/RESNICK/IMPERIAL, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent firm
No current employment
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
