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JR

Jason N. Rosales

TZ CLEAR LLC
DALLAS, TX 75206
Some features on this profile are disabled
CRD#: 4326977
JR

Professional summary

Jason Nicholas Rosales, who also goes by Jason N Rosales, is a registered financial professional currently at TZ CLEAR LLC located in Dallas, Texas.

Jason is registered as a RR (Registered Representative) and started their career in finance in 2002. Jason has worked at 10 firms and has passed the Series 65, Series 63, Series 66, Series 7TO, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jason N Rosales

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) - BD

Click below to view Jason Nicholas Rosales's 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

April 25, 2024 - Present

TZ CLEAR LLC

Office #1: 8080 North Central Expressway Suite 1700, Dallas, TX 75206
BD
CRD#: 8089
DALLAS, TX
Past

February 20, 2015 - April 29, 2021

AXOS CLEARING LLC

BD
CRD#: 117176
OMAHA, NE
Past

January 8, 2013 - January 28, 2015

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
OMAHA, NE
Past

October 27, 2010 - January 12, 2011

TD AMERITRADE, INC.

RIA
CRD#: 7870
OMAHA, NE
Past

September 24, 2010 - January 12, 2011

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
OMAHA, NE
Past

September 13, 2010 - January 12, 2011

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

September 1, 2009 - January 22, 2010

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
NEW YORK, NY
Past

November 8, 2007 - January 22, 2010

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
JERSEY CITY, NJ
Past

January 3, 2006 - November 5, 2007

PACIFIC SELECT DISTRIBUTORS, LLC

BD
CRD#: 4452
NEWPORT BEACH, CA
Past

May 12, 2003 - September 11, 2003

LPL FINANCIAL LLC

RIA
CRD#: 6413
OMAHA, NE
Past

May 5, 2003 - September 11, 2003

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

November 27, 2002 - May 9, 2003

WADDELL & REED

RIA
CRD#: 866
OMAHA, NE
Past

August 13, 2002 - May 9, 2003

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/28/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/20/2006
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/27/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/10/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 5/10/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/25/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/10/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TZ CLEAR LLC
KOONCE SECURITIES, INC. | TZ CLEAR LLC | KOONCE SECURITIES, LLC

CRD#: 8089 / SEC#: , 8-24511

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
8080 North Central Expressway Suite 1700, Dallas, TX 75206
Mailing Address
8080 North Central Expressway Suite 1700, Dallas, TX 75206
Phone number
(214) 216-0851
Established
Delaware since 07/22/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TRADEZERO USA, INC.PARENT COMPANY
CALLEJAS, KHRISMANAGER6062989
DENNEY, NICOLETTE IRISACHIEF FINANCIAL OFFICER FIN/OP1090644
HAUPT, MICHAEL SMANAGER2865821
JEHL, ILA S. IIICEO1893486
LUBURIC, IVANCHIEF COMPLIANCE OFFICER2189458
REX, COLETTE MCPP / POO1901452

Disclosures

Regulatory Event5

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.

Company Information

TZ CLEAR LLC

CRD#: 8089Dallas, TX 75206

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