Jason W. Cartier
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 Wayne Cartier, who also goes by Jason W Cartier, Jason Cartier, Jason Wayne Cartier, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2007. Jason had worked at 11 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2024 - April 21, 2026
LPL ENTERPRISE, LLC
November 14, 2024 - April 21, 2026
LPL ENTERPRISE, LLC
June 5, 2024 - November 12, 2024
PRUCO SECURITIES, LLC.
June 3, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
April 11, 2018 - August 29, 2022
CAPITAL MARKETS IQ, LLC
April 12, 2017 - April 3, 2018
EQUITY SERVICES, INC.
April 11, 2017 - April 3, 2018
EQUITY SERVICES, INC.
November 15, 2016 - April 6, 2017
HORNOR, TOWNSEND & KENT, LLC
May 23, 2016 - April 6, 2017
HORNOR, TOWNSEND & KENT, LLC
September 18, 2014 - January 9, 2016
OSAIC SERVICES, INC.
September 16, 2014 - January 9, 2016
OSAIC SERVICES, INC.
July 22, 2013 - June 10, 2014
J.P. MORGAN SECURITIES LLC
July 16, 2013 - June 10, 2014
J.P. MORGAN SECURITIES LLC
July 5, 2012 - February 15, 2013
MORGAN STANLEY
May 11, 2012 - February 15, 2013
MORGAN STANLEY
November 3, 2011 - March 13, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 20, 2011 - March 13, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 27, 2009 - April 1, 2010
SECURIAN FINANCIAL SERVICES, INC.
November 16, 2007 - June 16, 2009
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
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: 6/3/2024
General Securities Representative ExaminationCurrent Firm
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
