Jason M. Liebman
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 M Liebman, who also goes by Jason Matthew Liebman, Jason Liebman, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2000. Jason had worked at 10 firms and has passed the Series 65, Series 63, Series 66, Series 57TO, SIE, Series 55, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2016 - May 1, 2024
CHARLES SCHWAB & CO., INC.
June 23, 2016 - May 1, 2024
CHARLES SCHWAB & CO., INC.
April 1, 2016 - April 19, 2016
CAPITAL ONE ADVISORS, LLC
April 28, 2015 - April 19, 2016
CAPITAL ONE INVESTING, LLC
November 4, 2014 - February 2, 2015
BB&T INVESTMENT SERVICES, INC.
March 6, 2012 - December 11, 2014
KFM SECURITIES, INC.
June 6, 2007 - March 5, 2012
THE GRISWOLD COMPANY, INCORPORATED
May 11, 2005 - June 15, 2007
JBS SECURITIES CORP.
December 17, 2004 - May 12, 2005
UBS FINANCIAL SERVICES INC.
August 1, 2002 - October 5, 2004
JBS SECURITIES CORP.
June 27, 2001 - March 27, 2002
RBC CAPITAL MARKETS CORPORATION
January 23, 2001 - June 21, 2001
RBC CAPITAL MARKETS CORPORATION
October 1, 2000 - August 1, 2002
SORIANO, ANTHONY HAROLD
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/27/2010
Limited Representative-Equity Trader ExamSeries 25
Date: 3/26/2001
NYSE Trading Assistant ExaminationCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
