Jason D. Gragg

GRAGG FINANCIAL

SHELBY, NC 28150

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CRD#: 4476412

Professional summary

Jason Daniel Gragg, who also goes by Jay Gragg, is a registered financial advisor currently at GRAGG FINANCIAL located in Shelby, North Carolina.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Jason has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jay Gragg

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 Daniel Gragg'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

November 4, 2025 - Present

GRAGG FINANCIAL

Office #1: Nine East Marion Street, Shelby, NC 28150

RIA

CRD#: 110592

SHELBY, NC

Past

June 7, 2017 - December 16, 2025

CPS INVESTMENT ADVISORS

RIA

CRD#: 104914

Shelby, NC

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".

GRAGG FINANCIAL

GRAGG & GRAGG, L.L.P. | GRAGG FINANCIAL | GRAGG & GRAGG, LLP | GRAGG & GRAGG, L.L.P., CPAS

CRD#: 110592 / SEC#: 801-119435

RIA

Registered Investment Advisory firm - (10/7/2020 Approved)

North Carolina

Registered Investment Advisory firm - (10/7/2020 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

Florida
(11/18/2025)

IAR

North Carolina
(11/4/2025)

IAR

South Carolina
(11/4/2025)

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: 12/17/1999

Uniform Investment Adviser Law Examination

Current Firm

GRAGG FINANCIAL

GRAGG & GRAGG, L.L.P. | GRAGG FINANCIAL | GRAGG & GRAGG, LLP | GRAGG & GRAGG, L.L.P., CPAS

CRD#: 110592 / SEC#: 801-119435

RIA

Registered Investment Advisory firm - (10/7/2020 Approved)

North Carolina

Registered Investment Advisory firm - (10/7/2020 Terminated)

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Contact information

Main Address

Nine East Marion Street, Shelby, NC 28150

Mailing Address

Phone number

(704) 482-2001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2B JASON GRAGG (2/13/2026)

ADV 2 (2/13/2026)

ADV 2B BREANN WEAVER (2/13/2026)

ADV 2B G. BRYON GRAGG (2/13/2026)

Regulatory assets under management

Total Number of Accounts	475
AUM (Assets Under Management)	$ 215,357,909

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/22/2025	Cover Page	Report
09/18/2024	Cover Page	Report
10/27/2023	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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Jason D. Gragg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Daniel Gragg's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRAGG FINANCIAL

CPS INVESTMENT ADVISORS

Primary Firm SEC Registration

GRAGG FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/1999

Current Firm

GRAGG FINANCIAL

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GRAGG FINANCIAL

TRUST BUT VERIFY

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