Jason John Roque
CFP®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jason Roque, Jay Roque
Similar Advisors
EXCEPTIONAL WEALTH & FAMILY OFFICE
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
EXCEPTIONAL WEALTH & FAMILY OFFICE
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
EXCEPTIONAL WEALTH & FAMILY OFFICE
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
EXCEPTIONAL WEALTH & FAMILY OFFICE
Credentials
Years of Experience
23 years in the financial services industry
Current & Past Employments
Similar Advisors
EXCEPTIONAL WEALTH & FAMILY OFFICE
Current Firm
ELEVATED FINANCIAL PLANNING | TREASURE FINANCIAL PLANNING INC. | PATHFINDER FINANCIAL PLANNING, LLC | PARAGON CAPITAL, LLC | FINANCIAL FUTURE SERVICES, LLC. | FINANCIAL ACTION, INC.
Contact Information
Main Address
283 Washington St, Monument, CO 80132Phone Number
(719) 357-7189# of Employees
6SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,047AUM (Assets Under Management)
$100,278,633Similar Advisors
EXCEPTIONAL WEALTH & FAMILY OFFICE
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
EXCEPTIONAL WEALTH & FAMILY OFFICE
Primary Firm SEC Registration
ELEVATED FINANCIAL PLANNING | TREASURE FINANCIAL PLANNING INC. | PATHFINDER FINANCIAL PLANNING, LLC | PARAGON CAPITAL, LLC | FINANCIAL FUTURE SERVICES, LLC. | FINANCIAL ACTION, INC.
State Registrations and Notice Filings
(7/26/2013)
(9/16/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2003About the Series 6 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2012About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2012About the Series 10 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Oct 2003About the Series 26 examSimilar Advisors
EXCEPTIONAL WEALTH & FAMILY OFFICE
CRS (Client Relationship Summary) - RIA
Click below to view Jason John Roque's CRS (Customer Relationship Summary).
Similar Advisors
EXCEPTIONAL WEALTH & FAMILY OFFICE
