Jason Werth
Professional summary
Jason Werth, who also goes by Jason Randall Werth, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in West Des Moines, Iowa and CETERA FINANCIAL SPECIALISTS LLC located in West Des Moines, Iowa.
Jason is registered as a RR (Registered Representative) and started their career in finance in 2004. Jason has worked at 13 firms and has passed the Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 27, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jason Werth's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266June 10, 2021 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266June 10, 2021 - Present
CETERA ADVISORS LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266Office #2: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266September 29, 2022 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266June 10, 2021 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
June 23, 2017 - June 27, 2018
DIRECTED SERVICES LLC
June 23, 2017 - December 31, 2020
SLD AMERICA EQUITIES, INC.
June 23, 2017 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
June 23, 2017 - June 16, 2021
VOYA FINANCIAL PARTNERS, LLC
November 14, 2016 - June 21, 2017
FIRST ALLIED SECURITIES, INC.
July 9, 2015 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
July 9, 2015 - November 9, 2016
INVESTORS CAPITAL CORP.
July 9, 2015 - June 21, 2017
SUMMIT BROKERAGE SERVICES, INC.
July 9, 2015 - June 21, 2017
GIRARD SECURITIES, INC.
May 11, 2012 - June 21, 2017
CETERA FINANCIAL SPECIALISTS LLC
August 28, 2007 - February 1, 2010
VOYA FINANCIAL ADVISORS, INC.
August 28, 2007 - June 21, 2017
CETERA ADVISORS LLC
August 16, 2007 - June 21, 2017
CETERA WEALTH SERVICES, LLC
March 23, 2004 - July 26, 2007
DIRECTED SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
CETERA INVESTMENT SERVICES LLC
CRD#: 15340West Des Moines, IA 50266TRUST BUT VERIFY
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