Jason W. Cartier

LPL ENTERPRISE

Miami, FL 33126

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CRD#: 5429465

Professional summary

Jason Wayne Cartier, who also goes by Jason W Cartier, Jason Cartier, Jason Wayne Cartier, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Miami, Florida.

Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Jason has worked at 11 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jason W Cartier | Jason Cartier | Jason Wayne Cartier

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Wayne Cartier's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jason Wayne Cartier'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

November 18, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 800 Nw 62nd Ave Ste 120, Miami, FL 33126

RIA

CRD#: 8733

Miami, FL

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 800 Nw 62nd Ave Ste 120, Miami, FL 33126

RIA

CRD#: 8733

Miami, FL

Past

June 5, 2024 - November 12, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Miami, FL

Past

June 3, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Miami, FL

Past

April 11, 2018 - August 29, 2022

CAPITAL MARKETS IQ, LLC

RIA

CRD#: 134921

Jupiter, FL

Past

April 12, 2017 - April 3, 2018

EQUITY SERVICES, INC.

RIA

CRD#: 265

SUNRISE, FL

Past

April 11, 2017 - April 3, 2018

EQUITY SERVICES, INC.

CRD#: 265

SUNRISE, FL

Past

November 15, 2016 - April 6, 2017

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

BOCA RATON, FL

Past

May 23, 2016 - April 6, 2017

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

BOCA RATON, FL

Past

September 18, 2014 - January 9, 2016

OSAIC SERVICES, INC.

RIA

CRD#: 133763

PALM BEACH GARDENS, FL

Past

September 16, 2014 - January 9, 2016

OSAIC SERVICES, INC.

CRD#: 133763

PALM BEACH GARDENS, FL

Past

July 22, 2013 - June 10, 2014

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

LAKE PARK, FL

Past

July 16, 2013 - June 10, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

LAKE PARK, FL

Past

July 5, 2012 - February 15, 2013

MORGAN STANLEY

RIA

CRD#: 149777

NORTH PALM BEACH, FL

Past

May 11, 2012 - February 15, 2013

MORGAN STANLEY

CRD#: 149777

NORTH PALM BEACH, FL

Past

November 3, 2011 - March 13, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

PALM BCH GDNS, FL

Past

July 20, 2011 - March 13, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

PALM BCH GDNS, FL

Past

July 27, 2009 - April 1, 2010

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

PALM BEACH GARDENS, FL

Past

November 16, 2007 - June 16, 2009

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

WEST PALM BEACH, FL

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(11/15/2024)

IAR

Florida
(11/18/2024)

Georgia
(11/14/2024)

Ohio
(2/10/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/8/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/1/2011

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/3/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/15/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/10/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/15/2007

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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 W. Cartier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Wayne Cartier's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jason Wayne Cartier's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

CAPITAL MARKETS IQ, LLC

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MORGAN STANLEY

MORGAN STANLEY

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/8/2024

Series 65

Date: 11/1/2011

Series 7TO

Date: 6/3/2024

SIE

Date: 5/15/2024

Series 7

Date: 5/10/2012

Series 6

Date: 11/15/2007

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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