Jason Wimberly
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 Wimberly, who also goes by Jason S Wimberly, Jason Scott Wimberly, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1996. Jason had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 4, Series 24, 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
November 17, 2022 - March 30, 2026
J.P. MORGAN SECURITIES LLC
November 17, 2022 - March 30, 2026
J.P. MORGAN SECURITIES LLC
March 17, 2021 - November 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 2021 - November 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2018 - December 31, 2020
BANCWEST INVESTMENT SERVICES, INC.
October 1, 2018 - December 31, 2020
BANCWEST INVESTMENT SERVICES, INC.
December 11, 2014 - September 18, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 11, 2014 - September 18, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 21, 2012 - December 3, 2014
UBS FINANCIAL SERVICES INC.
September 21, 2012 - December 3, 2014
UBS FINANCIAL SERVICES INC.
September 10, 2012 - September 27, 2012
J.P. MORGAN SECURITIES LLC
August 12, 2006 - September 17, 2012
UBS FINANCIAL SERVICES INC.
August 12, 2006 - September 17, 2012
UBS FINANCIAL SERVICES INC.
July 21, 2005 - August 12, 2006
PIPER SANDLER & CO.
July 21, 2005 - August 12, 2006
PIPER SANDLER & CO.
December 31, 1999 - July 22, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 23, 1999 - July 22, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 1, 1998 - June 19, 1998
KEY INVESTMENTS INC.
December 1, 1997 - April 8, 1998
SCOTTRADE, INC.
January 17, 1997 - July 21, 1997
CHARLES SCHWAB & CO., INC.
July 23, 1996 - October 23, 1996
GLOBAL CAPITAL SECURITIES CORPORATION
June 14, 1996 - June 26, 1996
AMERICAN FRONTEER FINANCIAL CORPORATION
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 393 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
