Jason R. Setterberg
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 Richard Setterberg was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1991. Jason had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2015 - November 13, 2017
OPTIONSXPRESS, INC.
February 24, 1993 - April 4, 2026
CHARLES SCHWAB & CO., INC.
April 16, 1992 - October 23, 1992
PAULSON INVESTMENT COMPANY LLC
December 2, 1991 - April 16, 1992
FRANKLIN-LORD, INC.
June 24, 1991 - November 27, 1991
FIRST AMERICAN BILTMORE SECURITIES, INC.
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 8
Date: 7/15/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OPTIONSXPRESS, INC.
CRD#: 103849 / SEC#: , 8-52354
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 1 |
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.
