Jason A. Cardin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jason Andre Cardin, who also goes by Jay Cardin, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2002. Jason had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 55, Series 7, Series 53, Series 4, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2024 - March 6, 2026
LPL FINANCIAL LLC
January 3, 2024 - March 6, 2026
LPL FINANCIAL LLC
January 27, 2022 - December 11, 2023
LINCOLN INVESTMENT
January 27, 2022 - December 11, 2023
LINCOLN INVESTMENT
November 30, 2020 - January 18, 2022
LPL FINANCIAL LLC
November 25, 2020 - January 18, 2022
LPL FINANCIAL LLC
January 2, 2014 - June 5, 2020
HSBC SECURITIES (USA) INC.
December 9, 2013 - June 5, 2020
HSBC SECURITIES (USA) INC.
December 19, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
December 19, 2006 - September 5, 2013
WALNUT STREET SECURITIES, INC.
December 19, 2006 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
December 19, 2006 - November 13, 2013
NEW ENGLAND SECURITIES
December 19, 2006 - November 13, 2013
MSI FINANCIAL SERVICES, INC.
December 20, 2005 - September 27, 2006
WAMU INVESTMENTS, INC.
October 31, 2002 - April 28, 2005
AEGIS CAPITAL CORP.
September 23, 2002 - November 1, 2002
DIRKS & COMPANY, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/3/2024
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 6/28/2008
Limited Representative-Equity Trader ExamCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
