JA
Jason Adams
NATALLIANCE SECURITIES
Boulder, CO
Some features on this profile are disabled
CRD#: 2690575
JA
Professional summary
Jason Adams is a registered financial professional currently at NATALLIANCE SECURITIES, LLC located in Boulder, Colorado.
Jason is registered as a RR (Registered Representative) and started their career in finance in 1996. Jason has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Jason Adams'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®
NoneExperience
Current
January 9, 2019 - Present
NATALLIANCE SECURITIES, LLC
BD
CRD#: 39455
Boulder, CO
Past
August 12, 2009 - February 25, 2019
AURIGA USA, LLC
BD
CRD#: 121731
NEW YORK, NY
Past
April 9, 2007 - June 12, 2009
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
NEW YORK, NY
Past
May 10, 2004 - April 3, 2007
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
April 10, 1996 - May 25, 2004
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(1/31/2019)
RR
Alaska(2/4/2019)
RR
Arizona(6/19/2024)
RR
Arkansas(1/9/2019)
RR
California(1/9/2019)
RR
Colorado(1/10/2019)
RR
Connecticut(1/9/2019)
RR
District of Columbia(1/9/2019)
RR
Florida(1/9/2019)
RR
Georgia(1/9/2019)
RR
Illinois(4/10/2019)
RR
Indiana(1/9/2019)
RR
Iowa(1/9/2019)
RR
Kansas(1/9/2019)
RR
Louisiana(1/9/2019)
RR
Maryland(1/9/2019)
RR
Massachusetts(1/9/2019)
RR
Michigan(1/9/2019)
RR
Minnesota(1/22/2019)
RR
Mississippi(1/11/2019)
RR
Missouri(1/10/2019)
RR
New Jersey(1/9/2019)
RR
New Mexico(1/9/2019)
RR
New York(1/9/2019)
RR
North Carolina(1/9/2019)
RR
Ohio(1/9/2019)
RR
Oregon(1/9/2019)
RR
Pennsylvania(1/9/2019)
RR
Virginia(1/22/2019)
RR
Washington(1/9/2019)
RR
Wisconsin(1/9/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NATALLIANCE SECURITIES, LLC
NATALLIANCE INVESTMENT BANKING | SINEX SECURITIES, LLC. | NATIONAL ALLIANCE SECURITIES, LLC | NATIONAL ALLIANCE SECURITIES CORPORATION | NATIONAL ALLIANCE CAPITAL, LLC | NATALLIANCE SECURITIES, LLC | NATALLIANCE SECURITIES
CRD#: 39455 / SEC#: , 8-48723
BD
Broker-Dealer Firm Regulated by FINRA (Dallas 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
3101 Bee Cave Rd Suite 800, Austin, TX 78701
Mailing Address
3101 Bee Cave Rd Suite 270, Austin, TX 78746
Phone number
(512) 609-1700
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATALLIANCE HOLDING COMPANY LLC | OWNER | |
| ADAMS, JASON | BOARD MEMBER | 2690575 |
| BRENNER, ANDREW SCOTT | BOARD MEMBER | 1227535 |
| BUSH, FRED COSTON | CFO/COO | 3075024 |
| CARREON, MICHELLE ELLIS | CCO | 4861485 |
| GIORDANO, MICHAEL JAMES | BOARD MEMBER | 5942248 |
| HENDRICKSON, GEORGE ALEXANDER BROWN | BOARD MEMBER | 2382347 |
| LIEPMAN, JOHN FRANCIS | BOARD MEMBER | 2037298 |
| LOERCH, SAMUEL JAMES | BOARD MEMBER | 1195328 |
| SALTER, MARK MYLES | BOARD MEMBER/CEO/PRESIDENT | 1180139 |
| TAYLOR, BRADFORD STEPHEN | BOARD MEMBER | 5751455 |
Disclosures
| Regulatory Event | 8 |
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.
