Jason A. Prattes

PRATTES WEALTH PARTNERS

Newport Beach, CA 92660

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CRD#: 4337307

Professional summary

Jason Andrew Prattes is a registered financial advisor currently at PRATTES WEALTH PARTNERS located in Newport Beach, California.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Jason has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Andrew Prattes'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

October 31, 2018 - Present

PRATTES WEALTH PARTNERS

Office #1: 620 Newport Center Drive, Suite 1100, Newport Beach, CA 92660

RIA

CRD#: 298746

Newport Beach, CA

Past

September 3, 2014 - October 18, 2019

PENCE WEALTH MANAGEMENT, INC.

RIA

CRD#: 146599

NEWPORT BEACH, CA

Past

April 3, 2013 - October 2, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

NEWPORT BEACH, CA

Past

January 5, 2012 - August 13, 2013

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

RIA

CRD#: 151298

OLYMPIA, WA

Past

November 30, 2010 - December 8, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

NEWPORT BEACH, CA

Past

November 30, 2010 - October 2, 2019

LPL FINANCIAL LLC

CRD#: 6413

NEWPORT BEACH, CA

Past

September 3, 2008 - November 30, 2010

NRP ADVISORS, INC.

RIA

CRD#: 141430

CAPISTRANO BEACH, CA

Past

October 3, 2006 - November 30, 2010

NRP FINANCIAL, INC.

CRD#: 103717

SAN JUAN CAPISTRANO, CA

Past

August 3, 2004 - September 29, 2006

FINANCIAL TELESIS INC

CRD#: 31012

CAPISTRANO BEACH, CA

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".

PRATTES WEALTH PARTNERS

JASON A PRATTES FINANCIAL INC | SPRIVE CAPITAL MANAGEMENT | PRATTES WEALTH PARTNERS | PRATTES FINANCIAL

CRD#: 298746 / SEC#: 801-124726

RIA

Registered Investment Advisory firm - (4/22/2022 Approved)

California

Registered Investment Advisory firm - (10/31/2018 Approved)

Louisiana

Registered Investment Advisory firm - (1/21/2020 Approved)

Texas

Registered Investment Advisory firm - (2/21/2020 Conditional Restricted)

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
(10/31/2018)

IAR

Louisiana
(1/21/2020)

IAR

Texas
(2/21/2020)

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: 9/2/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/21/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/2004

General Securities Representative Examination

Current Firm

PRATTES WEALTH PARTNERS

JASON A PRATTES FINANCIAL INC | SPRIVE CAPITAL MANAGEMENT | PRATTES WEALTH PARTNERS | PRATTES FINANCIAL

CRD#: 298746 / SEC#: 801-124726

RIA

Registered Investment Advisory firm - (4/22/2022 Approved)

California

Registered Investment Advisory firm - (10/31/2018 Approved)

Louisiana

Registered Investment Advisory firm - (1/21/2020 Approved)

Texas

Registered Investment Advisory firm - (2/21/2020 Conditional Restricted)

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Contact information

Main Address

620 Newport Center Drive, Suite 1100, Newport Beach, CA 92660

Mailing Address

Phone number

(949) 271-6333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JASON A PRATTES FINANCIAL INC. FORM ADV PART 2A & 2B (4/2/2025)

Regulatory assets under management

Total Number of Accounts	109
AUM (Assets Under Management)	$ 180,293,804

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/28/2024	Cover Page	Report
12/29/2023	Cover Page	Report
10/03/2022	Cover Page	Report

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 A. Prattes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Andrew Prattes's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENCE WEALTH MANAGEMENT, INC.

LPL FINANCIAL LLC

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NRP ADVISORS, INC.

NRP FINANCIAL, INC.

FINANCIAL TELESIS INC

Primary Firm SEC Registration

PRATTES WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 9/2/2008

Series 63

Date: 1/21/2005

SIE

Date: 10/1/2018

Series 7

Date: 6/18/2004

Current Firm

PRATTES WEALTH PARTNERS

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRATTES WEALTH PARTNERS

TRUST BUT VERIFY

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