Jason Walton
Professional summary
Jason Walton, who also goes by Jason M Walton, Jason Michael Walton, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in Charlotte, North Carolina.
Jason is registered as a RR (Registered Representative) and started their career in finance in 2004. Jason has 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) - BD
Click below to view Jason Walton's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 10, 2022 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 550 South Tryon Street, Charlotte, NC 28202September 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
24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
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
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