Jason C. Vander Pol

LORD AND RICHARDS

PLANO, TX 75024

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CRD#: 5198807

Professional summary

Jason Christopher Vander Pol is a registered financial advisor currently at LORD AND RICHARDS located in Plano, Texas.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Jason has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

-President of Maurelli Consulting- an Amazon based eCommerce business -licensed insurance agent -Maurelli Consulting; Owner; Not Investment Related; 6508 Turnbridge Place Prospect Kentucky 40059; Description: Rental property and Airbnb co-hosting business; Responsibilities: Rental property upkeep/maintenance ; Start date: 2025-08-01; 0 Hours per month devoted to business during trading hours; 4 Hours per month devoted to business outside trading hours; 5 Percent of total yearly compensation expected to be derived from the business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Christopher Vander Pol's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 19, 2024 - Present

LORD AND RICHARDS

Office #1: 6860 Dallas Parkway Suite 110, Plano, TX 75024Office #2: 8744 Kendrick Castillo Way ; Suite 100, Highlands Ranch, CO 80129

RIA

CRD#: 328907

PLANO, TX

Past

January 18, 2019 - October 6, 2023

STRATEGIC WEALTH INVESTMENT GROUP, LLC

RIA

CRD#: 165474

LOUISVILLE, KY

Past

February 1, 2016 - December 18, 2018

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

LOUISVILLE, KY

Past

February 1, 2016 - December 18, 2018

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

LOUISVILLE, KY

Past

April 14, 2011 - February 2, 2016

SILVER OAK SECURITIES, INCORPORATED

RIA

CRD#: 46947

LOUISVILLE, KY

Past

January 28, 2010 - April 14, 2011

CUTTINGEDGE ADVISORS

RIA

CRD#: 146371

EUREKA, MO

Past

July 14, 2009 - February 2, 2016

SILVER OAK SECURITIES, INCORPORATED

CRD#: 46947

LOUISVILLE, KY

Past

January 24, 2007 - July 7, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOUISVILLE, KY

Past

January 24, 2007 - July 7, 2009

LPL FINANCIAL LLC

CRD#: 6413

LOUISVILLE, KY

Past

January 3, 2007 - January 24, 2007

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

LOUISVILLE, KY

Past

September 4, 2006 - January 24, 2007

GUNNALLEN FINANCIAL, INC

CRD#: 17609

LOUISVILLE, KY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LORD AND RICHARDS

LORD AND RICHARDS | LORD AND RICHARDS, INC. | LORD AND RICHARDS WEALTH MANAGEMENT, LLC | LORD AND RICHARDS WEALTH MANAGEMENT

CRD#: 328907 / SEC#: 801-129213

RIA

Registered Investment Advisory firm - (12/15/2023 Approved)

Texas

Registered Investment Advisory firm - (6/26/2024 Terminated)

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).

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
(1/19/2024)

IAR

Texas
(11/5/2024)

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: 12/20/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/23/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/2/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/6/2016

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/24/2007

General Securities Principal Examination

Current Firm

LORD AND RICHARDS

LORD AND RICHARDS | LORD AND RICHARDS, INC. | LORD AND RICHARDS WEALTH MANAGEMENT, LLC | LORD AND RICHARDS WEALTH MANAGEMENT

CRD#: 328907 / SEC#: 801-129213

RIA

Registered Investment Advisory firm - (12/15/2023 Approved)

Texas

Registered Investment Advisory firm - (6/26/2024 Terminated)

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Contact information

Main Address

8744 Kendrick Castillo Way Suite 100, Highlands Ranch, CO 80129

Mailing Address

Phone number

(720) 214-6801

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A- LORD AND RICHARDS, INC. (11/5/2025)

Regulatory assets under management

Total Number of Accounts	1,227
AUM (Assets Under Management)	$ 104,479,729

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 C. Vander Pol

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Christopher Vander Pol's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGIC WEALTH INVESTMENT GROUP, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

SILVER OAK SECURITIES, INCORPORATED

CUTTINGEDGE ADVISORS

SILVER OAK SECURITIES, INCORPORATED

LPL FINANCIAL LLC

LPL FINANCIAL LLC

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

Primary Firm SEC Registration

LORD AND RICHARDS

State Registrations and Notice Filings

Exams

Series 66

Date: 12/20/2006

Series 63

Date: 9/23/2006

SIE

Date: 10/1/2018

Series 7

Date: 9/2/2006

Series 53

Date: 10/6/2016

Series 24

Date: 5/24/2007

Current Firm

LORD AND RICHARDS

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LORD AND RICHARDS

TRUST BUT VERIFY

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