Jason R. Ainsworth
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 Ryan Ainsworth, who also goes by Jason Ainsworth, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1997. Jason had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 2, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2002 - December 31, 2016
NEUBERGER BERMAN BD LLC
November 15, 2000 - June 30, 2016
NEUBERGER BERMAN MANAGEMENT LLC
October 16, 1998 - December 31, 2016
NEUBERGER BERMAN BD LLC
January 16, 1997 - November 5, 1998
INVESCO CAPITAL MARKETS, INC.
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
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 2
Date: 3/21/1995
Non-Member General Securities ExaminationCurrent Firm
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| Arbitration | 5 |
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.
