Jason E. List

AVENTUS INVESTMENT ADVISORS

Cornelius, NC 28031

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CRD#: 5209188

Professional summary

Jason E List, CFP® is a registered financial advisor currently at AVENTUS INVESTMENT ADVISORS, INC. located in Cornelius, North Carolina.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Jason has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.

1. No Name, Not Investment Related, 9639 Eastridge Lane, Concord, NC, Insurance Sales, Agent, Agent, Licensed in July 2018, Zero, Zero, No Duties as hold license but do not actively sell insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason E List'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

May 14, 2021 - Present

AVENTUS INVESTMENT ADVISORS, INC.

Office #1: 19810 W Catawba Ave Suite G, Cornelius, NC 28031

RIA

CRD#: 153390

Cornelius, NC

Past

February 17, 2021 - March 31, 2021

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

ATLANTA, GA

Past

February 17, 2021 - March 31, 2021

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

CHARLOTTE, NC

Past

November 9, 2018 - February 17, 2021

BB&T SECURITIES, LLC

RIA

CRD#: 142785

RICHMOND, VA

Past

September 10, 2018 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

June 3, 2014 - February 9, 2016

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

CHARLOTTE, NC

Past

September 18, 2006 - February 9, 2016

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

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".

AVENTUS INVESTMENT ADVISORS, INC.

AVENTUS ADVISORS | WINDWARD CAPITAL GROUP LLC | WINDWARD CAPITAL | AVENTUS INVESTMENT ADVISORS, INC. | AVENTUS INVESTMENT ADVISORS LLC

CRD#: 153390 / SEC#: 801-131660

RIA

Registered Investment Advisory firm - (12/19/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (1/10/2025 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

North Carolina
(5/14/2021)

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: 11/8/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/27/2006

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: 7/17/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/15/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AVENTUS INVESTMENT ADVISORS, INC.

AVENTUS ADVISORS | WINDWARD CAPITAL GROUP LLC | WINDWARD CAPITAL | AVENTUS INVESTMENT ADVISORS, INC. | AVENTUS INVESTMENT ADVISORS LLC

CRD#: 153390 / SEC#: 801-131660

RIA

Registered Investment Advisory firm - (12/19/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (1/10/2025 Terminated)

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Contact information

Main Address

780 5th Avenue South Suite 200, Naples, FL 34102

Mailing Address

Phone number

(239) 673-0020

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

AVENTUS INVESTMENT ADVISORS, INC. (5/23/2025)

Regulatory assets under management

Total Number of Accounts	422
AUM (Assets Under Management)	$ 130,417,176

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 E. List

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason E List's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

AVENTUS INVESTMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/8/2018

Series 63

Date: 9/27/2006

SIE

Date: 10/1/2018

Series 7

Date: 7/17/2012

Series 6

Date: 9/15/2006

Current Firm

AVENTUS INVESTMENT ADVISORS, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AVENTUS INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

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