Jason R. Locke
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 R Locke, who also goes by Jaie Locke, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2000. Jason had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2025 - May 20, 2026
PL WEALTH ADVISORS, LLC
October 8, 2019 - March 13, 2020
SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.
October 31, 2018 - July 1, 2019
FIRST PALLADIUM, LLC
October 14, 2015 - August 30, 2018
MERCAP SECURITIES, LLC
May 27, 2014 - September 24, 2015
THE LEADERS GROUP, INC.
January 3, 2013 - May 16, 2014
PRUCO SECURITIES, LLC.
February 7, 2012 - January 3, 2013
HIMCO DISTRIBUTION SERVICES COMPANY
February 17, 2010 - January 24, 2012
THE LEADERS GROUP, INC.
April 10, 2008 - April 10, 2008
QUEST CAPITAL STRATEGIES, INC.
April 10, 2008 - October 27, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 9, 2008 - April 9, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 23, 2001 - October 9, 2002
PACIFIC SELECT DISTRIBUTORS, LLC
April 5, 2000 - April 3, 2001
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
State Registrations and Notice Filings
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Exams
Current Firm
PL WEALTH ADVISORS, LLC
CRD#: 170887 / SEC#:
Contact information
Red Flags
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