Jason M. Simmons

RED OAK FINANCIAL GROUP

Towson, MD 21204

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CRD#: 2909514

Professional summary

Jason Michael Simmons, who also goes by Jason Michael Simmons, is a registered financial advisor currently at RED OAK FINANCIAL GROUP located in Towson, Maryland and LPL FINANCIAL LLC located in Towson, Maryland.

Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Jason has worked at 7 firms and has passed the Series 66, Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jason Michael Simmons

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. 03/28/2025- Red Oak Financial- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s) 2) 04/01/2025 - Red Oak Financial Group - Investment Related - Registered Investment Advisor DBA - At Reported Business Location(s) - Start Date:02/17/2025 -160 Hrs/Mth - 8 Hrs During Trading.I provide investment advisory services to Compton Financial Group LLC (dba Red Oak Financial Group), an independent investment advisor firm. I started this business activity in 3/2025. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Michael Simmons'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

March 14, 2025 - Present

RED OAK FINANCIAL GROUP

Office #1: 403 Allegheny Avenue, Towson, MD 21204

RIA

CRD#: 166912

Towson, MD

Current

March 28, 2025 - Present

LPL FINANCIAL LLC

Office #1: 403 Allegheny Ave, Towson, MD 21204-4214

RIA

CRD#: 6413

Towson, MD

Past

November 14, 2024 - March 3, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

FOREST HILL, MD

Past

November 14, 2024 - March 3, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

FOREST HILL, MD

Past

November 3, 2022 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Forest Hill, MD

Past

September 22, 2022 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Forest Hill, MD

Past

July 7, 2017 - August 11, 2017

OSAIC FA, INC.

RIA

CRD#: 3978

HUNT VALLEY, MD

Past

July 7, 2017 - August 11, 2017

OSAIC FA, INC.

CRD#: 3978

HUNT VALLEY, MD

Past

April 26, 2017 - May 24, 2017

FISHER INVESTMENTS

RIA

CRD#: 107342

BELAIR, MD

Past

April 12, 2013 - October 13, 2015

RED OAK FINANCIAL GROUP

RIA

CRD#: 166912

TOWSON, MD

Past

November 2, 2005 - May 2, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

TOWSON, MD

Past

November 2, 2005 - November 4, 2015

LPL FINANCIAL LLC

CRD#: 6413

TOWSON, MD

Past

January 1, 1999 - November 9, 2005

OSAIC FA, INC.

RIA

CRD#: 3978

LUTHERVILLE, MD

Past

July 29, 1997 - November 9, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

July 29, 1997 - November 9, 2005

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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".

RED OAK FINANCIAL GROUP

COMPTON FINANCIAL GROUP | RED OAK RETIREMENT | RED OAK FINANCIAL GROUP | COMPTON FINANCIAL GROUP, LLC

CRD#: 166912 / SEC#: 801-80860

RIA

Registered Investment Advisory firm - (1/21/2015 Approved)

Maryland

Registered Investment Advisory firm - (5/26/2015 Terminated)

Texas

Registered Investment Advisory firm - (5/12/2015 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.

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

Delaware
(4/2/2025)

Florida
(3/31/2025)

IAR

Maryland
(3/14/2025)

Maryland
(4/1/2025)

Pennsylvania
(3/31/2025)

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

IAR

Series 66

Date: 10/28/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/13/1998

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/20/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 7/28/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

RED OAK FINANCIAL GROUP

COMPTON FINANCIAL GROUP | RED OAK RETIREMENT | RED OAK FINANCIAL GROUP | COMPTON FINANCIAL GROUP, LLC

CRD#: 166912 / SEC#: 801-80860

RIA

Registered Investment Advisory firm - (1/21/2015 Approved)

Maryland

Registered Investment Advisory firm - (5/26/2015 Terminated)

Texas

Registered Investment Advisory firm - (5/12/2015 Terminated)

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Contact information

Main Address

403 Allegheny Avenue, Towson, MD 21204

Mailing Address

Phone number

(410) 321-0168

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RED OAK DISCLOSURE BROCHURE (10/16/2025)

Regulatory assets under management

Total Number of Accounts	1,700
AUM (Assets Under Management)	$ 836,788,025

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. Simmons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Michael Simmons's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

OSAIC FA, INC.

OSAIC FA, INC.

FISHER INVESTMENTS

RED OAK FINANCIAL GROUP

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

RED OAK FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 10/28/2022

Series 63

Date: 7/13/1998

Series 65

Date: 10/20/1997

Series 7

Date: 7/28/1997

FINRA

Current Firm

RED OAK FINANCIAL GROUP

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RED OAK FINANCIAL GROUP

TRUST BUT VERIFY

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