Jason O. Gantt

CONFLUENCE INVESTMENT MANAGEMENT LLC

Fairfield, CT

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CRD#: 3167869

Professional summary

Jason Oconner Gantt is a registered financial advisor currently at CONFLUENCE INVESTMENT MANAGEMENT LLC located in Fairfield, Connecticut.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Jason has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 22 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Oconner Gantt'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

October 10, 2017 - Present

CONFLUENCE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 146019

Fairfield, CT

Past

May 15, 2006 - February 24, 2017

CROSSMARK GLOBAL INVESTMENTS, INC.

RIA

CRD#: 113360

HOUSTON, TX

Past

January 10, 2006 - February 24, 2017

CROSSMARK DISTRIBUTORS, INC.

CRD#: 14970

HOUSTON, TX

Past

October 5, 2000 - December 20, 2005

BOSTON CAPITAL SECURITIES, INC.

CRD#: 14611

BOSTON, MA

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".

CONFLUENCE INVESTMENT MANAGEMENT LLC

CONFLUENCE CAPITAL MANAGEMENT LLC | CONFLUENCE INVESTMENT MANAGEMENT LLC | CONFLUENCE INVESTMENT ADVISORS LLC

CRD#: 146019 / SEC#: 801-68723

RIA

Registered Investment Advisory firm - (1/10/2008 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

Connecticut
(10/10/2017)

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: 5/8/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/19/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/24/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/2003

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/4/2000

Direct Participation Programs Representative Examination

Current Firm

CONFLUENCE INVESTMENT MANAGEMENT LLC

CONFLUENCE CAPITAL MANAGEMENT LLC | CONFLUENCE INVESTMENT MANAGEMENT LLC | CONFLUENCE INVESTMENT ADVISORS LLC

CRD#: 146019 / SEC#: 801-68723

RIA

Registered Investment Advisory firm - (1/10/2008 Approved)

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Contact information

Main Address

20 Allen Avenue, Ste 300, Saint Louis, MO 63119

Mailing Address

Phone number

(314) 743-5090

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CONFLUENCE DISCLOSURE BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	16,134
AUM (Assets Under Management)	$ 7,251,904,123

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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Jason O. Gantt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Oconner Gantt's CRS (Customer Relationship Summary).

Certified licenses

Experience

CROSSMARK GLOBAL INVESTMENTS, INC.

CROSSMARK DISTRIBUTORS, INC.

BOSTON CAPITAL SECURITIES, INC.

Primary Firm SEC Registration

CONFLUENCE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/8/2006

Series 63

Date: 12/19/2005

SIE

Date: 2/24/2017

Series 7

Date: 11/21/2003

Series 22

Date: 10/4/2000

Current Firm

CONFLUENCE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONFLUENCE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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