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Jason Peter Windham

Jason Peter Windham

AIF®, CFP®, CIMA®

CWM

Baton Rouge, LA

·CRD# 3051908·28 years experience

Professional Summary

Jason Peter Windham, AIF®, CFP®, CIMA® is a registered financial advisor currently at CWM, LLC located in Baton Rouge, Louisiana and CETERA WEALTH SERVICES, LLC located in Baton Rouge, Louisiana. Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Jason has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

AIF®

Accredited Investment Fiduciary

CFP®

Certified Financial PlannerSince 2000

CIMA®

Certified Investment Management Analyst

Years of Experience

28 years in the financial services industry

Current & Past Employments

CWM, LLC·CRD# 155344

RIA

8280 Ymca Plaza Drive , Bldg 4, Baton Rouge, LA 70810

March 13, 2023 - Present

CETERA WEALTH SERVICES, LLC·CRD# 13572

BD

8280 Ymca Plaza Drive Building 4, Baton Rouge, LA 70810

March 13, 2023 - Present

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC·CRD# 149018

RIA

Baton Rouge, LA

January 2, 2009 - November 3, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.·CRD# 6694

RIA

Baton Rouge, LA

June 8, 2005 - January 2, 2009

THE SHOBE FINANCIAL GROUP·CRD# 114975

RIA

Baton Rouge , LA

May 23, 2002 - May 11, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.·CRD# 6694

BD

Baton Rouge, LA

October 16, 1998 - March 16, 2023

OSAIC WEALTH, INC.·CRD# 23131

BD

Scottsdale, AZ

July 2, 1998 - October 16, 1998

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Current Firm

CL

CWM, LLC

22 WEALTH MANAGEMENT | PLATINUM WEALTH MANAGEMENT | PINNACLE WEALTH | PINNACLE FINANCIAL GROUP | PILLAR FINANCIAL ADVISORS | PETERMAN FINANCIAL GROUP, INC. | PETERMAN FINANCIAL GROUP | PESTA & PESTA WEALTH MANAGEMENT | PARSONS WEALTH MANAGEMENT | PARISH WEALTH PARTNERS | PANGEA WEALTH | OVATION WEALTH ADVISORS | OSL, INC | OLIVIER GROUP INNOVATIVE WEALTH PLANNERS | OGDEN WEALTH | OAKESON STEINER WEALTH & RETIREMENT | NWCM | NICHOLS WEALTH PARTNERS | NETWORTH FINANCIAL, INC | NESSO WEALTH | NAVION FINANCIAL ADVISORS | NAVIGUIDE WEALTH PARTNERS, INC. | NAUTICA WEALTH ADVISORS | MORGAN WEALTH | MITLIN FINANCIAL | MELERINE WEALTH MANAGEMENT | MEIKLE FINANCIAL GROUP | MEATH WEALTH ADVISORS | MAMMOTH FINANCIAL | MAIN STREET FINANCIAL LIFE ADVISORS, LLC | MAG WEALTH MANAGEMENT | LUND WEALTH MANAGEMENT | LOTUS BRIDGE WEALTH MANAGEMENT | LIONS GATE WEALTH MANAGEMENT, LLC | LIONS GATE WEALTH | LATITUDE WEALTH MANAGEMENT | LATITUDE WEALTH | LANE BROTHERS INVESTMENT COUNSEL | LANE BROTHERS & COMPANY, INC | LANE BROTHERS & CO. | LACLEDE PRIVATE CAPITAL | KUHLMANN FINANCIAL | KEYSTONE FINANCIAL | KANAI WEALTH MANAGEMENT GROUP | KABAREC FINANCIAL ADVISORS | JON BAKER FINANCIAL GROUP | JACOB WILLIAM ADVISORY | JACKSON WEALTH MANAGEMENT | INTEGRATED WEALTH MANAGEMENT | HORIZON FINANCIAL GROUP | HOLLAR WEALTH | HOFFMEYER WEALTH MANAGEMENT | HIRST FINANCIAL INDEPENDENCE PLANNING | HERITAGE FINANCIAL & INVESTMENTS | HERITAGE FINANCIAL | HARRISON WALLACE FINANCIAL GROUP, LTD | HARRISON WALLACE | HARBOR WEALTH MANAGEMENT | HAL-OTEY FINANCIAL | HAL OTEY FINANCIAL WEALTH MANAGEMENT & RETIREMENT PLANNING | GWA | GRIMM-SCHLIPMAN FINANCIAL | GRAVES FINANCIAL WEALTH MANAGEMENT | GRANITE WEALTH STRATEGIES | GOLD FAMILY WEALTH | GERTSEMA WEALTH ADVISORS | GERTSEMA WEALTH | GEIST FAMILY WEALTH | GAAM WEALTH ADVISORS, INC. | FURSTENAU FINANCIAL | FORTIS FINANCIAL PARTNERS | FLP FINANCIAL | FLASHPOINT FINANCIAL SERVICES | FINANCIAL MANAGEMENT INC. | FINANCIAL INDEPENDENCE PLANNING, INC. | FINANCIAL IMPACT ADVISORS | FFR WEALTH TEAM | FCM FINANCIAL PLANNING | FCM FINANCIAL | FAMILY WEALTH MANAGEMENT GROUP | EQUITY PLANNING INC | EQUANIMITY WEALTH MANAGEMENT | ENTIRETY | DYNAMIC LEGACY PLANNING | DSF WEALTH MGMT | DSF WEALTH MANAGEMENT, LLC | DRIVEN WEALTH STRATEGIES | DOYLE & LOUGHMAN WEALTH MANAGEMENT | DORHOUT RETIREMENT SERVICES | DILLON WEALTH MANAGEMENT GROUP | DIAMOND WEALTH MANAGEMENT | DIAMOND WEALTH ADVISORS | DENVER CAPITAL GROUP | CWMG-WEST DES MOINES | CWMG - WALTHAM | CWMG - COLORADO SPRINGS | CWMG | CWM, LLC | CULTIVATE WEALTH, LLC | CREST WEALTH PARTNERS | CRESCENT FINANCIAL ADVISORS | CORNERSTONE WEALTH MANAGEMENT GROUP | CORNERSTONE WEALTH ADVISORS | CONCIERGE WEALTH MANAGEMENT GROUP | COLLECTIVE ADVISORS | CODY FINANCIAL ADVISORS | CLEAR RESOURCE GROUP | CLARITY WEALTH | CHESSMAN WEALTH STRATEGIES | CARSON WEALTH-TRUE NORTH FINANCIAL | CARSON WEALTH-THE SHOBE FINANCIAL GROUP | CARSON WEALTH-FISHER FINANCIAL ADVISORS | CARSON WEALTH MANAGEMENT GROUP | CARSON WEALTH | CARSON PARTNERS | CARSON INSTITUTIONAL ALLIANCE (CIA) | CARSON INSTITUTIONAL | CARSON GROUP PARTNERS | CARSON GROUP HOLDINGS | CARSON GROUP | CARSON | CADWELL WEALTH | BUTTERWORTH FINANCIAL GROUP | BUCKLEY INVESTMENT GROUP, LLC | BUCKLEY | BRIDGES PRIVATE WEALTH | BOSTON RETIREMENT GROUP | BMY WEALTH MANAGEMENT GROUP | BMY WEALTH | BLUEPRINT WEALTH MANAGEMENT | BLOOM WEALTH ADVISORS | BIXLER FINANCIAL | BENDER FINANCIAL | BARRINGTON WEALTH MANAGEMENT | BAIN WEALTH MANAGEMENT | AVERY WEALTH, INC. | ASSET ADVISORS, LLC | ASPIRE FINANCIAL PLANNING | ART OF WEALTH MANAGEMENT | ARS INVESTMENT ADVISORS, INC. | ARMSTRONG PURSELLEY WEATH MANAGEMENT GROUP | ARMSTRONG PURSELLEY WEALTH MANAGEMENT | APTUS WEALTH PLANNING | APTUS WEALTH MANAGEMENT GROUP | APPLIED FINANCIAL PLANNING | APPLIED FINANCIAL | ALLGOOD FINANCIAL ADVISORY | ALEXANDER LEGACY PRIVATE WEALTH | ALBRITTON FINANCIAL SERVICES | AGRILLO FINANCIAL GROUP | ADVANCED RETIREMENT STRATEGIES | ABUNDANT LIFE FINANCIAL | ABBS RETIREMENT PLANNING ADVISORS | ABARIS FINANCIAL GROUP, LLC | ABARIS FINANCIAL GROUP | AAM FINANCIAL PLANNING AND INVESTMENTS | 360° WEALTH ADVISOR...

CRD#: 155344 / SEC#: 801-72037

RIA

Registered Investment Advisory firm - SEC (1/3/2011 Approved)

Contact Information

Main Address

14600 Branch St., Omaha, NE 68154

Phone Number

(402) 330-0808

# of Employees

1,416

SEC notice filing (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CWM, LLC APPENDIX WRAP PROGRAM (9/9/2026)

CWM, LLC ADV PART 2A (9/9/2026)

Regulatory Assets Under Management

Total Number of Accounts

154,206

AUM (Assets Under Management)

$50,579,657,663

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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. OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INV REL: YES; ADDRESS: REGISTERED LOCATION; NATURE: FIXED INSURANCE; START: 04/1998; HRS PER WEEK: 2; TRADING HRS: 2; TITLE: INSURANCE AGENT; DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. OTHER BUSINESS: CWM, LLC DBA CARSON PARTNERS - CRD # 155344; INV REL: YES; ADDRESS: REGISTERED LOCATION; NATURE: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING, AND ADDITIONAL ADVISORY SERVICES; START: 03/2023; TITLE: WEALTH ADVISOR; HRS PER WEEK: 40; TRADING HRS: 32; DUTIES: PROVIDING ADVISORY SERVICES TO CLIENTS WHEN NEEDED; 3. OTHER BUSINESS: COUNTRY CLUB OF LOUISIANA INV REL: NO ADDRESS: BATON ROUGE, LA NATURE: COUNTRY CLUB; START: 04/2018; HRS PER WEEK: LESS THAN 1; TRADING HRS: LESS THAN 1; TITLE: COMMITTEE MEMBER / FINANCE AND LONG-RANGE PLANNING; DUTIES: OFFER THOUGHTS AND PERSPECTIVE FOR THESE VARIOUS COMMITTEES SO THEY CAN PROVIDE INPUT AND RECOMMENDATIONS TO THE BOARD; 4. OTHER BUSINESS: SHOBE REALTY INVESTMENTS, LLC; INV REL: NO; ADDRESS: REGISTERED LOCATION; NATURE: PROPERTY MANAGEMENT; START DATE: 01/2002; TITLE: MEMBER; HRS PER WEEK: LESS THAN 1; TRADING HRS: LESS THAN 1; DUTIES: INVESTOR, BUSINESS PARTNER, ED SHOBE RUNS DAY-DAY OPERATIONS; 5. OTHER BUSINESS: CWM, LLC DBA CARSON GROUP HOLDINGS; INV REL: YES; ADDRESS: REGISTERED LOCATION; NATURE: DBA FOR FINANCIAL SERVICES; START: 03/2023; TITLE: WEALTH ADVISOR; HRS PER WEEK: 40; TRADING HRS: 32; BRIEF DESCRIPTION OF DUTIES: ADVISORY SERVICES; 6. OTHER BUSINESS: FINANCIAL BENEFITS, INC.; INV REL: NO; ADDRESS: REGISTERED LOCATION; NATURE: OPERATIONAL BUSINESS FOR THE SHOBE FINANCIAL GROUP, RENTS OFFICE SPACE AND LEASES EQUIPMENT; START: 01/2002; TITLE: PRESIDENT; HRS PER WEEK: 10; TRADING HRS: 8; DUTIES: OVERALL MANAGEMENT OF THE COMPANY; 7. OTHER BUSINESS: CRIM-TOP, LLC; INV REL: NO; ADDRESS: REGISTERED LOCATION; NATURE: INVESTMENT ENTITY; START: 09/2014; TITLE: BUSINESS OWNER; HRS PER WEEK: NONE; TRADING HRS: NONE; DUTIES: REVIEW BUSINESS OPPORTUNITIES; 8. OTHER BUSINESS: OHANA INVESTMENT GROUP, LLC; INV REL: NO; ADDRESS: REGISTERED LOCATION; NATURE: PRIVATE BUSINESS INVESTMENT; START: 07/2011; TITLE: BUSINESS OWNER; HRS PER WEEK: NONE; TRADING HRS: NONE; DUTIES: REVIEW BUSINESS OPPORTUNITIES; 9. OTHER BUSINESS: CWM, LLC DBA CARSON WEALTH-THE SHOBE FINANCIAL GROUP; INV REL: YES; ADDRESS: REGISTERED LOCATION; NATURE: DBA FOR FINANCIAL SERVICES; START: 03/2023; TITLE: BUSINESS WEALTH ADVISOR; HRS PER WEEK: 40; TRADING HRS: 32; DUTIES: PROVIDING BROKERAGE AND ADVISORY SERVICES; 10. OTHER BUSINESS: SHOBE MANAGEMENT INC.; INV REL: NO; ADDRESS: REGISTERED LOCATION; NATURE: MANAGEMENT SERVICES / BUSINESS CONSULTING; START: 08/2019; TITLE: BUSINESS OWNER; HRS PER WEEK: NONE; TRADING HRS: NONE; DUTIES: MANAGEMENT AND POTENTIAL SERVICE PROVIDER OF BUSINESS PLANNING; 11. NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON RETIREMENT PROGRAM (CRP)), INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: RETIREMENT SERVICES, POSITION/TITLE/RELATIONSHIP: 3

(21) FIDUCUARY, START DATE: 03/2023 APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: GROUP RETIREMENT PLANNING SERVICES INCLUDING 3

(21) SERVICES; 12. NAME OF OTHER BUSINESS: OHANA & ASSOCIATES, INC. ; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HOLDING COMPANY ; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: CEO; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY;

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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".

CL

CWM, LLC

22 WEALTH MANAGEMENT | PLATINUM WEALTH MANAGEMENT | PINNACLE WEALTH | PINNACLE FINANCIAL GROUP | PILLAR FINANCIAL ADVISORS | PETERMAN FINANCIAL GROUP, INC. | PETERMAN FINANCIAL GROUP | PESTA & PESTA WEALTH MANAGEMENT | PARSONS WEALTH MANAGEMENT | PARISH WEALTH PARTNERS | PANGEA WEALTH | OVATION WEALTH ADVISORS | OSL, INC | OLIVIER GROUP INNOVATIVE WEALTH PLANNERS | OGDEN WEALTH | OAKESON STEINER WEALTH & RETIREMENT | NWCM | NICHOLS WEALTH PARTNERS | NETWORTH FINANCIAL, INC | NESSO WEALTH | NAVION FINANCIAL ADVISORS | NAVIGUIDE WEALTH PARTNERS, INC. | NAUTICA WEALTH ADVISORS | MORGAN WEALTH | MITLIN FINANCIAL | MELERINE WEALTH MANAGEMENT | MEIKLE FINANCIAL GROUP | MEATH WEALTH ADVISORS | MAMMOTH FINANCIAL | MAIN STREET FINANCIAL LIFE ADVISORS, LLC | MAG WEALTH MANAGEMENT | LUND WEALTH MANAGEMENT | LOTUS BRIDGE WEALTH MANAGEMENT | LIONS GATE WEALTH MANAGEMENT, LLC | LIONS GATE WEALTH | LATITUDE WEALTH MANAGEMENT | LATITUDE WEALTH | LANE BROTHERS INVESTMENT COUNSEL | LANE BROTHERS & COMPANY, INC | LANE BROTHERS & CO. | LACLEDE PRIVATE CAPITAL | KUHLMANN FINANCIAL | KEYSTONE FINANCIAL | KANAI WEALTH MANAGEMENT GROUP | KABAREC FINANCIAL ADVISORS | JON BAKER FINANCIAL GROUP | JACOB WILLIAM ADVISORY | JACKSON WEALTH MANAGEMENT | INTEGRATED WEALTH MANAGEMENT | HORIZON FINANCIAL GROUP | HOLLAR WEALTH | HOFFMEYER WEALTH MANAGEMENT | HIRST FINANCIAL INDEPENDENCE PLANNING | HERITAGE FINANCIAL & INVESTMENTS | HERITAGE FINANCIAL | HARRISON WALLACE FINANCIAL GROUP, LTD | HARRISON WALLACE | HARBOR WEALTH MANAGEMENT | HAL-OTEY FINANCIAL | HAL OTEY FINANCIAL WEALTH MANAGEMENT & RETIREMENT PLANNING | GWA | GRIMM-SCHLIPMAN FINANCIAL | GRAVES FINANCIAL WEALTH MANAGEMENT | GRANITE WEALTH STRATEGIES | GOLD FAMILY WEALTH | GERTSEMA WEALTH ADVISORS | GERTSEMA WEALTH | GEIST FAMILY WEALTH | GAAM WEALTH ADVISORS, INC. | FURSTENAU FINANCIAL | FORTIS FINANCIAL PARTNERS | FLP FINANCIAL | FLASHPOINT FINANCIAL SERVICES | FINANCIAL MANAGEMENT INC. | FINANCIAL INDEPENDENCE PLANNING, INC. | FINANCIAL IMPACT ADVISORS | FFR WEALTH TEAM | FCM FINANCIAL PLANNING | FCM FINANCIAL | FAMILY WEALTH MANAGEMENT GROUP | EQUITY PLANNING INC | EQUANIMITY WEALTH MANAGEMENT | ENTIRETY | DYNAMIC LEGACY PLANNING | DSF WEALTH MGMT | DSF WEALTH MANAGEMENT, LLC | DRIVEN WEALTH STRATEGIES | DOYLE & LOUGHMAN WEALTH MANAGEMENT | DORHOUT RETIREMENT SERVICES | DILLON WEALTH MANAGEMENT GROUP | DIAMOND WEALTH MANAGEMENT | DIAMOND WEALTH ADVISORS | DENVER CAPITAL GROUP | CWMG-WEST DES MOINES | CWMG - WALTHAM | CWMG - COLORADO SPRINGS | CWMG | CWM, LLC | CULTIVATE WEALTH, LLC | CREST WEALTH PARTNERS | CRESCENT FINANCIAL ADVISORS | CORNERSTONE WEALTH MANAGEMENT GROUP | CORNERSTONE WEALTH ADVISORS | CONCIERGE WEALTH MANAGEMENT GROUP | COLLECTIVE ADVISORS | CODY FINANCIAL ADVISORS | CLEAR RESOURCE GROUP | CLARITY WEALTH | CHESSMAN WEALTH STRATEGIES | CARSON WEALTH-TRUE NORTH FINANCIAL | CARSON WEALTH-THE SHOBE FINANCIAL GROUP | CARSON WEALTH-FISHER FINANCIAL ADVISORS | CARSON WEALTH MANAGEMENT GROUP | CARSON WEALTH | CARSON PARTNERS | CARSON INSTITUTIONAL ALLIANCE (CIA) | CARSON INSTITUTIONAL | CARSON GROUP PARTNERS | CARSON GROUP HOLDINGS | CARSON GROUP | CARSON | CADWELL WEALTH | BUTTERWORTH FINANCIAL GROUP | BUCKLEY INVESTMENT GROUP, LLC | BUCKLEY | BRIDGES PRIVATE WEALTH | BOSTON RETIREMENT GROUP | BMY WEALTH MANAGEMENT GROUP | BMY WEALTH | BLUEPRINT WEALTH MANAGEMENT | BLOOM WEALTH ADVISORS | BIXLER FINANCIAL | BENDER FINANCIAL | BARRINGTON WEALTH MANAGEMENT | BAIN WEALTH MANAGEMENT | AVERY WEALTH, INC. | ASSET ADVISORS, LLC | ASPIRE FINANCIAL PLANNING | ART OF WEALTH MANAGEMENT | ARS INVESTMENT ADVISORS, INC. | ARMSTRONG PURSELLEY WEATH MANAGEMENT GROUP | ARMSTRONG PURSELLEY WEALTH MANAGEMENT | APTUS WEALTH PLANNING | APTUS WEALTH MANAGEMENT GROUP | APPLIED FINANCIAL PLANNING | APPLIED FINANCIAL | ALLGOOD FINANCIAL ADVISORY | ALEXANDER LEGACY PRIVATE WEALTH | ALBRITTON FINANCIAL SERVICES | AGRILLO FINANCIAL GROUP | ADVANCED RETIREMENT STRATEGIES | ABUNDANT LIFE FINANCIAL | ABBS RETIREMENT PLANNING ADVISORS | ABARIS FINANCIAL GROUP, LLC | ABARIS FINANCIAL GROUP | AAM FINANCIAL PLANNING AND INVESTMENTS | 360° WEALTH ADVISOR...

CRD#: 155344 / SEC#: 801-72037

RIA

Registered Investment Advisory firm - SEC (1/3/2011 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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(3/13/2023)

RR

Arizona
(3/13/2023)

RR

Arkansas
(3/13/2023)

RR

California
(3/13/2023)

RR

Colorado
(3/13/2023)

RR

District of Columbia
(3/13/2023)

RR

Florida
(3/13/2023)

RR

Georgia
(3/13/2023)

RR

Idaho
(3/13/2023)

RR

Kansas
(3/13/2023)

RR

Louisiana
(3/13/2023)

IAR

Louisiana
(3/13/2023)

RR

Maine
(3/13/2023)

RR

Mississippi
(3/13/2023)

RR

Montana
(3/13/2023)

RR

New Jersey
(3/13/2023)

RR

New Mexico
(3/13/2023)

RR

North Carolina
(3/20/2023)

RR

Ohio
(3/13/2023)

RR

Oklahoma
(3/13/2023)

RR

Oregon
(3/13/2023)

RR

Pennsylvania
(3/13/2023)

RR

Puerto Rico
(3/13/2023)

RR

Rhode Island
(3/13/2023)

RR

South Carolina
(3/13/2023)

RR

Texas
(3/13/2023)

IAR

Texas
(3/13/2023)

RR

Virginia
(3/13/2023)

RR

Washington
(3/13/2023)

RR

Wyoming
(3/13/2023)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1998About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 1998About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 1998About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Jason Peter Windham's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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Jason Peter Windham

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