Jason T. Sunderland

FAIRVIEW SECURITIES

Westport, CT

Some features on this profile are disabled

CRD#: 2650445

Professional summary

Jason Thaddeus Sunderland is a registered financial professional currently at FAIRVIEW SECURITIES, INC. located in Westport, Connecticut.

Jason is registered as a RR (Registered Representative) and started their career in finance in 1995. Jason has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 3, Series 14, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jason Thaddeus Sunderland'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®

None

Experience

Current

April 12, 2016 - Present

FAIRVIEW SECURITIES, INC.

Office #2: 154 Long Lots Road, Westport, CT 06880

CRD#: 35703

Westport, CT

Past

November 1, 2005 - December 11, 2008

GAM SERVICES, INC.

CRD#: 25631

NEW YORK, NY

Past

May 20, 2003 - November 13, 2003

INVESTEC INC.

CRD#: 18553

NEW YORK, NY

Past

January 25, 2002 - April 28, 2003

INVESTEC INC.

CRD#: 18553

NEW YORK, NY

Past

October 1, 1998 - March 21, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 6, 1995 - August 30, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

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

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

Arizona
(6/11/2019)

Connecticut
(4/12/2016)

Illinois
(6/1/2019)

Maryland
(8/2/2016)

Minnesota
(4/12/2016)

New York
(6/3/2019)

Exams

State Security Law Exam

Series 63

Date: 3/17/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 5/30/2020

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/2016

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 2/26/2016

National Commodity Futures Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 28

Date: 1/25/2017

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/19/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FAIRVIEW SECURITIES, INC.

CRD#: 35703 / SEC#: , 8-46868

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

154 Long Lots Road, Westport, CT 06880

Mailing Address

154 Long Lots Road, Westport, CT 06880

Phone number

(212) 427-3623

Established

Connecticut since 11/22/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SUNDERLAND, JASON THADDEUS	CEO, CCO, AMLCO, GENERAL SECURITIES PRINCIPAL, FINOP, PFO AND POO	2650445

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jason T. Sunderland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jason Thaddeus Sunderland's CRS (Customer Relationship Summary).

Certified licenses

Experience

GAM SERVICES, INC.

INVESTEC INC.

INVESTEC INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/17/2016

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 5/30/2020

SIE

Date: 10/1/2018

Series 7

Date: 3/21/2016

Series 3

Date: 2/26/2016

Series 14

Date: 1/2/2023

Series 28

Date: 1/25/2017

Series 24

Date: 7/19/2016

FINRA

Current Firm

FAIRVIEW SECURITIES, INC.

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FAIRVIEW SECURITIES, INC.

TRUST BUT VERIFY

Similar Advisors