Jason W. Lind

TOUCHSTONE ADVISORS

LAFAYETTE, CA

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CRD#: 2576607

Professional summary

Jason William Lind, CFA, who also goes by Jason William Lind, is a registered financial advisor currently at TOUCHSTONE ADVISORS INC located in Lafayette, California and TOUCHSTONE SECURITIES, INC. located in Cincinnati, Ohio.

Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Jason has worked at 8 firms and has passed the Series 63, Series 31, SIE, Series 87, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jason William Lind

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Provide business-to-business marketing and solicitation activities to downstream intermediaries regarding Separately Managed Accounts and Model Portfolio Delivery options of select advisers contracted with Touchstone Securities. Approximately two hours per business week during trading hours, compensated via an override as percentage of management fee.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason William Lind's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

Experience

Current

August 16, 2024 - Present

TOUCHSTONE ADVISORS INC

RIA

CRD#: 107028

LAFAYETTE, CA

Current

May 31, 2024 - Present

TOUCHSTONE SECURITIES, INC.

Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202

CRD#: 1526

CINCINNATI, OH

Past

June 4, 2021 - February 14, 2024

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119

NEW YORK, NY

Past

August 3, 2016 - May 20, 2021

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059

San Francisco, CA

Past

June 2, 2014 - August 8, 2016

RS FUNDS DISTRIBUTOR LLC

CRD#: 165753

VILLANOVA, PA

Past

January 14, 2009 - June 2, 2014

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

VILLANOVA, PA

Past

September 6, 2007 - January 12, 2009

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

WAYNE, PA

Past

October 8, 1996 - August 24, 2006

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TOUCHSTONE ADVISORS INC

CRD#: 107028 / SEC#: 801-45963

RIA

Registered Investment Advisory firm - (2/28/1994 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(5/31/2024)

Alaska
(5/31/2024)

Arizona
(5/31/2024)

Arkansas
(5/31/2024)

California
(5/31/2024)

Colorado
(5/31/2024)

Connecticut
(5/31/2024)

Delaware
(5/31/2024)

District of Columbia
(5/31/2024)

Florida
(5/31/2024)

Georgia
(5/31/2024)

Hawaii
(5/31/2024)

Idaho
(5/31/2024)

Illinois
(5/31/2024)

Indiana
(5/31/2024)

Iowa
(5/31/2024)

Kansas
(5/31/2024)

Kentucky
(5/31/2024)

Louisiana
(5/31/2024)

Maine
(5/31/2024)

Maryland
(5/31/2024)

Massachusetts
(5/31/2024)

Michigan
(5/31/2024)

Minnesota
(5/31/2024)

Mississippi
(5/31/2024)

Missouri
(5/31/2024)

Montana
(5/31/2024)

Nebraska
(5/31/2024)

Nevada
(5/31/2024)

New Hampshire
(5/31/2024)

New Jersey
(5/31/2024)

New Mexico
(5/31/2024)

New York
(5/31/2024)

North Carolina
(5/31/2024)

North Dakota
(5/31/2024)

Ohio
(5/31/2024)

IAR

Ohio
(8/16/2024)

Oklahoma
(5/31/2024)

Oregon
(5/31/2024)

Pennsylvania
(5/31/2024)

Rhode Island
(5/31/2024)

South Carolina
(5/31/2024)

South Dakota
(5/31/2024)

Tennessee
(5/31/2024)

Texas
(5/31/2024)

Utah
(5/31/2024)

Vermont
(5/31/2024)

Virgin Islands
(5/31/2024)

Virginia
(5/31/2024)

Washington
(5/31/2024)

West Virginia
(5/31/2024)

Wisconsin
(5/31/2024)

Wyoming
(5/31/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/26/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 7/29/2021

Futures Managed Funds Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 12/21/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 10/7/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/1/2015

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

TOUCHSTONE ADVISORS INC

CRD#: 107028 / SEC#: 801-45963

RIA

Registered Investment Advisory firm - (2/28/1994 Approved)

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Contact information

Main Address

303 Broadway Suite 1100, Cincinnati, OH 45202-4203

Mailing Address

Phone number

(513) 362-8000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 29,132,797,072

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.

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Advisor Monitoring

Firm Stability Insights

Jason W. Lind

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason William Lind's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOUCHSTONE SECURITIES, INC.

LAZARD ASSET MANAGEMENT SECURITIES LLC

VICTORY CAPITAL SERVICES, INC.

RS FUNDS DISTRIBUTOR LLC

GUARDIAN INVESTOR SERVICES LLC

GLOBAL ATLANTIC DISTRIBUTORS, LLC

PIPER SANDLER & CO.

Primary Firm SEC Registration

TOUCHSTONE ADVISORS INC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/26/1997

Series 31

Date: 7/29/2021

SIE

Date: 10/1/2018

Series 87

Date: 12/21/2004

Series 7

Date: 10/7/1996

Series 26

Date: 12/1/2015

FINRA

Current Firm

TOUCHSTONE ADVISORS INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

TOUCHSTONE ADVISORS INC

TRUST BUT VERIFY

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