Jason M. Finnigan

HIGHROAD WEALTH ADVISORS

COOS BAY, OR 97420

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CRD#: 2827406

Professional summary

Jason Maurice Finnigan is a registered financial advisor currently at HIGHROAD WEALTH ADVISORS, LLC located in Coos Bay, Oregon.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Jason has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

(1) HIGHROAD REAL ESTATE LLC, INV RELATED, COOS BAY, OR, 50% OWNER, START: 12/2014, 8 HOURS PER MONTH/0 DURING TRADING, DUTIES: MANAGE BUILDING HOUSEING AND OTHER UNITS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Maurice Finnigan'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

August 1, 2024 - Present

HIGHROAD WEALTH ADVISORS, LLC

Office #1: 170 S. 2nd Street, Suite 201, Coos Bay, OR 97420

RIA

CRD#: 331566

COOS BAY, OR

Past

February 14, 2014 - August 9, 2024

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

COOS BAY, OR

Past

February 14, 2014 - August 9, 2024

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

COOS BAY, OR

Past

June 1, 2009 - February 21, 2014

MORGAN STANLEY

RIA

CRD#: 149777

COOS BAY, OR

Past

June 1, 2009 - February 21, 2014

MORGAN STANLEY

CRD#: 149777

COOS BAY, OR

Past

March 14, 2001 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

COOS BAY, OR

Past

December 23, 1997 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

COOS BAY, OR

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".

HIGHROAD WEALTH ADVISORS, LLC

CRD#: 331566 / SEC#: 801-130463

RIA

Registered Investment Advisory firm - (6/13/2024 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.

Highlighted states indicate IAR registrations

IAR

Oregon
(8/1/2024)

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 66

Date: 5/30/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/9/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/12/2014

General Securities Principal Examination

Current Firm

HIGHROAD WEALTH ADVISORS, LLC

CRD#: 331566 / SEC#: 801-130463

RIA

Registered Investment Advisory firm - (6/13/2024 Approved)

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Contact information

Main Address

170 S. 2nd Street, Suite 201, Coos Bay, OR 97420

Mailing Address

Phone number

(541) 266-7623

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV2A/2B (5/15/2025)

Regulatory assets under management

Total Number of Accounts	315
AUM (Assets Under Management)	$ 170,956,327

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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Advisor Monitoring

Firm Stability Insights

Jason M. Finnigan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Maurice Finnigan's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

HIGHROAD WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/30/2003

Series 63

Date: 2/9/1998

SIE

Date: 10/1/2018

Series 7

Date: 12/22/1997

Series 24

Date: 5/12/2014

Current Firm

HIGHROAD WEALTH ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HIGHROAD WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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