Jason R. Mcloud
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.
Jason Ross Mcloud, who also goes by Jason R Mcloud, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2006. Jason had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2019 - May 6, 2019
TRADESTATION SECURITIES, INC.
June 8, 2017 - March 4, 2019
INGHAM RETIREMENT GROUP
May 10, 2017 - March 1, 2018
LPL FINANCIAL LLC
December 8, 2014 - January 24, 2017
CETERA INVESTMENT ADVISERS LLC
October 21, 2014 - January 24, 2017
CETERA INVESTMENT SERVICES LLC
October 28, 2011 - August 12, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 2011 - August 12, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 7, 2010 - September 29, 2011
WELLS FARGO CLEARING SERVICES, LLC
April 22, 2010 - September 29, 2011
WELLS FARGO CLEARING SERVICES, LLC
August 14, 2006 - December 10, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 25, 2006 - December 10, 2009
WELLS FARGO CLEARING 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
Current Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
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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