Jason Walton
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 Walton, who also goes by Jason M Walton, Jason Michael Walton, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2004. Jason had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 53, Series 4 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
February 10, 2022 - January 5, 2026
WELLS FARGO SECURITIES, LLC
September 17, 2018 - January 10, 2019
INNOVATION PARTNERS LLC
September 14, 2018 - January 10, 2019
INNOVATION PARTNERS LLC
July 31, 2015 - June 13, 2018
NORTHERN TRUST SECURITIES, INC.
January 30, 2015 - June 13, 2018
NORTHERN TRUST SECURITIES, INC.
July 19, 2012 - January 31, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 2012 - January 31, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - July 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - July 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 30, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 23, 2004 - March 14, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
August 11, 2004 - March 14, 2005
IDS LIFE INSURANCE COMPANY
August 11, 2004 - March 14, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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.
