Jason D. Finley

FINLEY FINANCIAL

Las Vegas, NV

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CRD#: 2686780

Professional summary

Jason Donald Finley, CFP®, who also goes by Jay Finley, is a registered financial advisor currently at FINLEY FINANCIAL, LLC located in Las Vegas, Nevada.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Jason has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jay Finley

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) - RIA

Click below to view Jason Donald Finley's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1999

Experience

Current

October 22, 2004 - Present

FINLEY FINANCIAL, LLC

RIA

CRD#: 131442

Las Vegas, NV

Past

March 8, 2002 - July 21, 2004

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

MC MINNVILLE, OR

Past

November 21, 2001 - June 3, 2004

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

November 15, 2001 - November 16, 2001

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

February 14, 2000 - November 21, 2001

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

December 11, 1995 - March 2, 2000

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 11, 1995 - March 2, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

FINLEY FINANCIAL, LLC

CRD#: 131442 / SEC#: 801-110657

RIA

Registered Investment Advisory firm - (6/22/2017 Approved)

Oregon

Registered Investment Advisory firm - (7/18/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Nevada
(7/26/2024)

IAR

Oregon
(10/22/2004)

IAR

Texas
(1/31/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/10/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/16/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/9/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/13/1998

General Securities Principal Examination

Current Firm

FINLEY FINANCIAL, LLC

CRD#: 131442 / SEC#: 801-110657

RIA

Registered Investment Advisory firm - (6/22/2017 Approved)

Oregon

Registered Investment Advisory firm - (7/18/2017 Terminated)

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Contact information

Main Address

11421 Rain Canyon Ave 102, Las Vegas, NV, 89135

Mailing Address

Phone number

(503) 474-3535

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FINLEY FINANCIAL, LLC - ADV PART 2A (2/11/2025)

Regulatory assets under management

Total Number of Accounts	304
AUM (Assets Under Management)	$ 202,271,000

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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Firm Stability Insights

Jason D. Finley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Donald Finley's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

SECURITIES AMERICA, INC.

COMMONWEALTH FINANCIAL NETWORK

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

FINLEY FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/10/1996

Series 63

Date: 12/16/1995

Series 7

Date: 12/9/1995

Series 24

Date: 6/13/1998

Current Firm

FINLEY FINANCIAL, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINLEY FINANCIAL, LLC

TRUST BUT VERIFY

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