Jason C. Joe
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 Christopher Joe, who also goes by Jason Joe, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2007. Jason had worked at 7 firms and has passed the Series 65, Series 66, Series 7TO, SIE, Series 7, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2019 - April 2, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 22, 2019 - April 2, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 8, 2017 - November 21, 2019
RAYMOND JAMES & ASSOCIATES, INC.
February 8, 2017 - November 21, 2019
RAYMOND JAMES & ASSOCIATES, INC.
July 24, 2015 - January 19, 2017
VALIC FINANCIAL ADVISORS, INC.
July 24, 2015 - January 19, 2017
VALIC FINANCIAL ADVISORS, INC.
October 8, 2014 - July 10, 2015
NEXT FINANCIAL GROUP, INC.
September 23, 2014 - July 10, 2015
NEXT FINANCIAL GROUP, INC.
May 30, 2008 - December 20, 2013
SCOTTRADE, INC.
September 17, 2007 - January 9, 2008
EDWARD JONES
July 12, 2007 - January 9, 2008
EDWARD JONES
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 7TO
Date: 1/3/2024
General Securities Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
