Jason S. Alicea

KESTRA ADVISORY SERVICES | Senior Financial Advisor

Ossining, NY 10562

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CRD#: 2793107

Professional summary

Jason Scott Alicea, who also goes by Jason S Alicea, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Ossining, New York and KESTRA INVESTMENT SERVICES, LLC located in Ossining, New York.

Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Jason has worked at 16 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jason S Alicea

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.

KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 12/05/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR LODI WEALTH MANAGEMENT POSITION: Financial Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 12/05/2024 ADDRESS: 15 Foxrun Road, Croton on the Hudson NY 10520, United States DESCRIPTION: Financial Advisor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Scott Alicea'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®

None

Experience

Current

December 5, 2024 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 200 Executive Blvd Suite C, Ossining, NY 10562

RIA

CRD#: 283330

Ossining, NY

Current

April 4, 2025 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 200 Executive Blvd Suite C , Ossining, NY 10562

CRD#: 42046

Ossining, NY

Past

December 5, 2024 - December 18, 2024

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Ossining, NY

Past

November 18, 2022 - December 17, 2024

FARTHER

RIA

CRD#: 302050

Bronx, NY

Past

May 28, 2019 - November 22, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

May 6, 2019 - November 22, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 3, 2019 - May 2, 2019

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

PORTLAND, ME

Past

June 22, 2018 - December 31, 2018

ALPS DISTRIBUTORS, INC.

CRD#: 16853

New York, NY

Past

April 4, 2018 - May 24, 2018

NORTH SEA SECURITIES L.P.

CRD#: 35530

New York, NY

Past

March 3, 2011 - August 9, 2017

TOCQUEVILLE SECURITIES L.P.

CRD#: 26001

NEW YORK, NY

Past

June 14, 2006 - March 4, 2011

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

NEW YORK, NY

Past

June 9, 2006 - March 4, 2011

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

NEW YORK, NY

Past

June 24, 2005 - June 2, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

June 23, 2005 - June 2, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

November 14, 2002 - June 6, 2005

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

April 23, 2001 - November 19, 2002

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

NEW YORK, NY

Past

November 3, 1999 - April 23, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 2, 1997 - October 25, 1999

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

December 24, 1996 - January 17, 1997

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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.

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

IAR

New York
(12/5/2024)

New York
(4/6/2025)

IAR

Texas
(12/5/2024)

Texas
(10/8/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/31/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/2/2022

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/23/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Jason S. Alicea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Scott Alicea's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

FARTHER

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FORESIDE FINANCIAL SERVICES, LLC

ALPS DISTRIBUTORS, INC.

NORTH SEA SECURITIES L.P.

TOCQUEVILLE SECURITIES L.P.

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE DISTRIBUTORS LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

RBC CAPITAL MARKETS, LLC

CANACCORD GENUITY SECURITIES LLC

MORGAN STANLEY DW INC.

WELLS FARGO CLEARING SERVICES, LLC

JOSEPHTHAL & CO., INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/31/2025

Series 65

Date: 2/2/2022

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/23/1996

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

Contact information

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