Jason J. Roque

FINANCIAL ACTION

Monument, CO 80132

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CRD#: 4668889

Professional summary

Jason John Roque, CFP®, who also goes by Jason Roque, Jay Roque, is a registered financial advisor currently at FINANCIAL ACTION, INC. located in Monument, Colorado.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Jason has worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 9, Series 10, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jason Roque | Jay Roque

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.

RENTAL PROPERTY - LANDLORD OF PROPERTY AT COLORADO SPRINGS, CO 80922. START:12/2012. I MANAGE AND COLLECT RENT. NON-INVESTMENT RELATED. Roque Property Management, LLC. Owner Start: 2024

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason John Roque'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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

July 26, 2013 - Present

FINANCIAL ACTION, INC.

Office #1: 283 Washington St, Monument, CO 80132

RIA

CRD#: 140285

Monument, CO

Past

October 1, 2012 - July 31, 2013

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

COLORADO SPRINGS, CO

Past

October 1, 2012 - July 31, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

COLORADO SPRINGS, CO

Past

January 26, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

AURORA, CO

Past

January 26, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

AURORA, CO

Past

February 8, 2008 - January 23, 2009

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

COLORADO SPRINGS, CO

Past

June 12, 2006 - January 23, 2009

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

COLORADO SPRINGS, CO

Past

February 18, 2005 - December 13, 2005

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Past

July 11, 2003 - April 2, 2004

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

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

Colorado
(7/26/2013)

IAR

Florida
(10/28/2024)

IAR

Louisiana
(8/7/2024)

IAR

Texas
(9/16/2024)

IAR

Wyoming
(8/6/2024)

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 66

Date: 1/31/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/25/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/19/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/10/2003

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 4/7/2012

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 4/2/2012

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 3/16/2012

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/24/2003

Investment Company Products/Variable Contracts Principal Examination

Current Firm

FINANCIAL ACTION, INC.

ELEVATED FINANCIAL PLANNING | TREASURE FINANCIAL PLANNING INC. | FINANCIAL FUTURE SERVICES, LLC. | FINANCIAL ACTION, INC.

CRD#: 140285 / SEC#:

Arizona

Registered Investment Advisory firm - (11/14/2012 Terminated)

Colorado

Registered Investment Advisory firm - (7/10/2006 Approved)

Florida

Registered Investment Advisory firm - (10/28/2024 Approved)

Louisiana

Registered Investment Advisory firm - (8/7/2024 Approved)

New Mexico

Registered Investment Advisory firm - (12/3/2009 Terminated)

Texas

Registered Investment Advisory firm - (9/16/2024 Approved)

Wyoming

Registered Investment Advisory firm - (7/11/2024 Approved)

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).

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Contact information

Main Address

283 Washington St, Monument, CO 80132

Mailing Address

Phone number

(800) 372-9404

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	933
AUM (Assets Under Management)	$ 81,000,000

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 J. Roque

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason John Roque's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

MFS FUND DISTRIBUTORS, INC.

MFS FUND DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/31/2008

Series 63

Date: 7/25/2003

Series 7

Date: 7/19/2006

Series 6

Date: 7/10/2003

Series 9

Date: 4/7/2012

Series 10

Date: 4/2/2012

Series 24

Date: 3/16/2012

Series 26

Date: 10/24/2003

Current Firm

FINANCIAL ACTION, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FINANCIAL ACTION, INC.

TRUST BUT VERIFY

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