Robert J. Semone

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CRD#: 4677971

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robert Jason Douglas Semone, who also goes by Jason Todd Semon, Jason Douglas Semone, R Jason Douglas Semone, Robert Jason Semone, Robert Jason Semone, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2003. Robert had worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jason Todd Semon | Jason Douglas Semone | R Jason Douglas Semone | Robert Jason Semone | Robert Jason Semone

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 11, 2009 - November 11, 2014

WATERROCK GLOBAL ASSET MANAGEMENT

RIA

CRD#: 151309

BELLEVUE, WA

Past

March 6, 2008 - September 16, 2009

WADDELL & REED

RIA

CRD#: 866

SEATTLE, WA

Past

March 6, 2008 - September 16, 2009

WADDELL & REED

CRD#: 866

SEATTLE, WA

Past

January 24, 2006 - January 15, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SEATTLE, WA

Past

January 24, 2006 - January 15, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SEATTLE, WA

Past

September 15, 2003 - January 27, 2006

WADDELL & REED

RIA

CRD#: 866

SEATTLE, WA

Past

September 12, 2003 - October 3, 2003

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

August 7, 2003 - January 27, 2006

WADDELL & REED

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 66

Date: 9/12/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/6/2003

General Securities Representative Examination

Current Firm

WATERROCK GLOBAL ASSET MANAGEMENT

WATERROCK GLOBAL ASSET MANAGEMENT | WRGAM LLC | WATERROCK GLOBAL ASSET MANAGEMENT LLC

CRD#: 151309 / SEC#: 801-70531

RIA

Registered Investment Advisory firm - (3/8/2010 Terminated)

Arizona

Registered Investment Advisory firm - (5/5/2021 Approved)

California

Registered Investment Advisory firm - (4/10/2015 Approved)

Florida

Registered Investment Advisory firm - (5/6/2016 Approved)

Oregon

Registered Investment Advisory firm - (4/14/2010 Approved)

Washington

Registered Investment Advisory firm - (1/25/2010 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

29 148th Ave Se, Bellevue, WA 98007

Mailing Address

29 148th Ave Se, Bellevue, WA 98007

Phone number

(425) 698-1463

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	388
AUM (Assets Under Management)	$ 63,739,368

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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Robert J. Semone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WATERROCK GLOBAL ASSET MANAGEMENT

WADDELL & REED

WADDELL & REED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WADDELL & REED

HORNOR, TOWNSEND & KENT, LLC

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 66

Date: 9/12/2003

Series 7

Date: 8/6/2003

Current Firm

WATERROCK GLOBAL ASSET MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WATERROCK GLOBAL ASSET MANAGEMENT

TRUST BUT VERIFY

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