Jason A. Ginsburg

DJ WEALTH SYSTEMS

New York, NY

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CRD#: 3059319

Professional summary

Jason Andrew Ginsburg is a registered financial advisor currently at DJ WEALTH SYSTEMS, LLC located in New York, New York.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Jason has worked at 4 firms and has passed the Series 63, SIE, Series 57, Series 3, Series 7, Series 10 and Series 9 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.

We are an SEC registered RIA that manages an option strategy on behalf of investors in separately managed accounts. We do not receive any commissions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Andrew Ginsburg'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

May 29, 2021 - Present

DJ WEALTH SYSTEMS, LLC

RIA

CRD#: 299360

New York, NY

Past

August 1, 2024 - January 17, 2025

FORTIS CAPITAL ADVISORS, LLC

RIA

CRD#: 309709

New York, NY

Past

August 2, 1999 - August 15, 2018

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

October 15, 1998 - August 27, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

DJ WEALTH SYSTEMS, LLC

CRD#: 299360 / SEC#: 801-114353

RIA

Registered Investment Advisory firm - (11/29/2018 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

New York
(5/29/2021)

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

Series 63

Date: 10/19/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 57

Date: 10/3/2017

Securities Trader Exam

General Industry/Product Exam

Series 3

Date: 10/14/1999

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/13/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/12/2013

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/13/2012

General Securities Sales Supervisor - Options Module Examination

Current Firm

DJ WEALTH SYSTEMS, LLC

CRD#: 299360 / SEC#: 801-114353

RIA

Registered Investment Advisory firm - (11/29/2018 Approved)

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Contact information

Main Address

New York, NY

Mailing Address

Phone number

(917) 207-0787

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-DJ WEALTH SYSTEMS, LLC (1/21/2025)

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 42,000,000

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 A. Ginsburg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Andrew Ginsburg's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTIS CAPITAL ADVISORS, LLC

GOLDMAN SACHS & CO. LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

DJ WEALTH SYSTEMS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/19/1999

SIE

Date: 8/15/2018

Series 57

Date: 10/3/2017

Series 3

Date: 10/14/1999

Series 7

Date: 10/13/1998

Series 10

Date: 2/12/2013

Series 9

Date: 11/13/2012

Current Firm

DJ WEALTH SYSTEMS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DJ WEALTH SYSTEMS, LLC

TRUST BUT VERIFY

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