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JS

Jason St Charles

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CRD#: 5436446
JS

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 St Charles, who also goes by Jason H St Charles, Jason Howard St Charles, Jason H Stcharles, was a registered financial professional .

Jason is a previously registered financial professional and started their career in finance in 2008. Jason had worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jason H St Charles | Jason Howard St Charles | Jason H Stcharles

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 4, 2015 - July 13, 2017

TD AMERITRADE, INC.

RIA
CRD#: 7870
OAK BROOK, IL
Past

August 4, 2015 - July 13, 2017

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
OAK BROOK, IL
Past

August 3, 2015 - July 13, 2017

TD AMERITRADE, INC.

BD
CRD#: 7870
OAK BROOK, IL
Past

May 1, 2013 - July 8, 2015

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
CHICAGO, IL
Past

May 1, 2013 - July 8, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

July 12, 2011 - April 30, 2013

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
WESTERN SPRINGS, IL
Past

July 11, 2011 - April 30, 2013

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
WESTERN SPRINGS, IL
Past

June 1, 2009 - December 17, 2009

MORGAN STANLEY

RIA
CRD#: 149777
INDIANAPOLIS, IN
Past

June 1, 2009 - December 17, 2009

MORGAN STANLEY

BD
CRD#: 149777
INDIANAPOLIS, IN
Past

November 26, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
INDIANAPOLIS, IN
Past

November 26, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
INDIANAPOLIS, IN
Past

July 1, 2008 - December 1, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
INDIANAPOLIS, IN
Past

May 23, 2008 - December 1, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
INDIANAPOLIS, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/20/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/13/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/24/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/2008
General Securities Representative Examination

Current Firm

TD AMERITRADE, INC.
TD AMERITRADE, INC.
TD AMERITRADE, INC. | WATERHOUSE SECURITIES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC.

CRD#: 7870 / SEC#: 801-60469, 8-23395

BD
Terminated by SEC on 09/17/2024
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Contact information

Main Address
200 South 108th Avenue, Omaha, NE 68154
Mailing Address
Phone number
(800) 669-3900
Established
New York since 09/29/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
5,840

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TD AMERITRADE ONLINE HOLDINGS LLC.OWNER
KONOP, LYNN MARIECHIEF COMPLIANCE OFFICER - BD1216310
KOSTULIAS, JAMES ROBERTPRESIDENT3091009
STARR, JEFFREY HAROLDMANAGING DIRECTOR, OPERATIONS4700461
THOMPSON, AARON MARKCHIEF FINANCIAL OFFICER/FINOP6483170

Disclosures

Regulatory Event79
Civil Event1
Arbitration145

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.

Company Information

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CRD#: 7870

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