Jason J. Petty
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 Jon Petty, who also goes by Jason J Petty, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1995. Jason had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2017 - April 20, 2020
TD AMERITRADE CLEARING, INC.
April 11, 2014 - April 7, 2022
TD AMERITRADE, INC.
April 22, 2006 - April 7, 2022
TD AMERITRADE, INC.
January 28, 2003 - July 21, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 2, 2002 - April 22, 2006
TD AMERITRADE CLEARING, INC.
November 15, 2001 - December 31, 2001
J.P. SECURITIES, INC.
February 8, 1995 - December 31, 2001
ACCUTRADE 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
Current Firm
TD AMERITRADE CLEARING, INC.
CRD#: 5633 / SEC#: , 8-16335
Contact information
Documents
Disclosures
| Regulatory Event | 27 |
| Arbitration | 27 |
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.
