Jason R. Locke

ROBERTSON INVESTMENT MANAGEMENT

HOUSTON, TX 77002

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CRD#: 3277654

Professional summary

Jason Roger Locke, who also goes by Jaie Locke, Jason R Locke, is a registered financial advisor currently at ROBERTSON INVESTMENT MANAGEMENT located in Houston, Texas.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Jason has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

At a Glance

Always Fiduciary

Aliases

Jaie Locke | Jason R Locke

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 Roger Locke'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

July 3, 2026 - Present

ROBERTSON INVESTMENT MANAGEMENT

Office #1: 919 Milam St Suite 500, Houston, TX 77002

RIA

CRD#: 115425

HOUSTON, TX

Past

July 2, 2026 - July 2, 2026

ROBERTSON INVESTMENT MANAGEMENT

RIA

CRD#: 115425

HOUSTON, TX

Past

April 30, 2025 - May 20, 2026

PL WEALTH ADVISORS, LLC

RIA

CRD#: 170887

KATY, TX

Past

October 8, 2019 - March 13, 2020

SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.

CRD#: 148024

SUMMIT, NJ

Past

October 31, 2018 - July 1, 2019

FIRST PALLADIUM, LLC

CRD#: 289822

FORT WAYNE, IN

Past

October 14, 2015 - August 30, 2018

MERCAP SECURITIES, LLC

CRD#: 156607

ATLANTA, GA

Past

May 27, 2014 - September 24, 2015

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

January 3, 2013 - May 16, 2014

PRUCO SECURITIES, LLC.

CRD#: 5685

OAKBROOK TERRACE, IL

Past

February 7, 2012 - January 3, 2013

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

OAKBROOK TERRACE, IL

Past

February 17, 2010 - January 24, 2012

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

April 10, 2008 - April 10, 2008

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

April 10, 2008 - October 27, 2009

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

April 9, 2008 - April 9, 2008

LINCOLN FINANCIAL DISTRIBUTORS, INC.

RIA

CRD#: 145

NAPERVILLE, IL

Past

April 23, 2001 - October 9, 2002

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

April 5, 2000 - April 3, 2001

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

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".

ROBERTSON INVESTMENT MANAGEMENT

ROBERTSON & ASSOCIATES LLC | ROBERTSON, LANDERS AND ASSOCIATES | ROBERTSON WEALTH MANAGEMENT, LLC | ROBERTSON INVESTMENT MANAGEMENT

CRD#: 115425 / SEC#: 801-120446

RIA

Registered Investment Advisory firm - (4/2/2021 Approved)

Texas

Registered Investment Advisory firm - (4/7/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(7/3/2026)

IAR

Texas
(7/7/2026)

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 65

Date: 3/25/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/11/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/9/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ROBERTSON INVESTMENT MANAGEMENT

ROBERTSON & ASSOCIATES LLC | ROBERTSON, LANDERS AND ASSOCIATES | ROBERTSON WEALTH MANAGEMENT, LLC | ROBERTSON INVESTMENT MANAGEMENT

CRD#: 115425 / SEC#: 801-120446

RIA

Registered Investment Advisory firm - (4/2/2021 Approved)

Texas

Registered Investment Advisory firm - (4/7/2021 Terminated)

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Contact information

Main Address

919 Milam St Suite 500, Houston, TX 77002

Mailing Address

Phone number

(713) 622-4077

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	779
AUM (Assets Under Management)	$ 273,053,474

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Colorado	ERA - Withdrawn	12/22/2020
Louisiana	ERA - Withdrawn	12/22/2020

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 R. Locke

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Roger Locke's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERTSON INVESTMENT MANAGEMENT

PL WEALTH ADVISORS, LLC

SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.

FIRST PALLADIUM, LLC

MERCAP SECURITIES, LLC

THE LEADERS GROUP, INC.

PRUCO SECURITIES, LLC.

HIMCO DISTRIBUTION SERVICES COMPANY

THE LEADERS GROUP, INC.

QUEST CAPITAL STRATEGIES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

PACIFIC SELECT DISTRIBUTORS, LLC

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Primary Firm SEC Registration

ROBERTSON INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 3/25/2025

Series 63

Date: 10/11/2008

SIE

Date: 8/30/2018

Series 6

Date: 4/9/2008

Current Firm

ROBERTSON INVESTMENT MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

ROBERTSON INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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