Jason E. Siperstein
ELIOT ROSE WEALTH MANAGEMENT
WEST WARWICK, RI 02893
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CRD#: 5722409
Professional summary
Jason Eliot Siperstein, CFP®, who also goes by Jason E Siperstein, is a registered financial advisor currently at ELIOT ROSE WEALTH MANAGEMENT, LLC located in West Warwick, Rhode Island.
Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Jason has worked at 2 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Investment Planning
Tax Planning
Comprehensive Financial Planni...
Do you have an area of expertise or specialization?
Baby Boomers
Business Owners
Charitable Giving
College/Education Planning
Corporate Executives
Divorce Planning
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Jason E Siperstein
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.
CRS (Client Relationship Summary) - RIA
Click below to view Jason Eliot Siperstein's 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®
Start date: 2015
Experience
Current
June 27, 2011 - Present
ELIOT ROSE WEALTH MANAGEMENT, LLC
Office #1: 1300 Division Road Suite 301, West Warwick, RI 02893RIA
CRD#: 120465
WEST WARWICK, RI
Past
November 17, 2009 - August 10, 2010
LAIDLAW & COMPANY (UK) LTD.
BD
CRD#: 119037
NEW YORK, NY
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".
ELIOT ROSE WEALTH MANAGEMENT, LLC
ELIOT ROSE ASSET MANAGEMENT, LLC | ELIOT ROSE WEALTH MANAGEMENT, LLC | ELIOT ROSE WEALTH MANAGEMENT
CRD#: 120465 / SEC#: 801-121354
RIA
Registered Investment Advisory firm - (7/2/2021 Approved)Connecticut
Registered Investment Advisory firm - (7/27/2021 Terminated)Florida
Registered Investment Advisory firm - (7/26/2021 Terminated)Massachusetts
Registered Investment Advisory firm - (7/26/2021 Terminated)New York
Registered Investment Advisory firm - (7/26/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/7/2016 Terminated)Rhode Island
Registered Investment Advisory firm - (7/26/2021 Terminated)Texas
Registered Investment Advisory firm - (7/26/2021 Terminated)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
Rhode Island(6/27/2011)
IAR
Texas(11/5/2020)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
ELIOT ROSE WEALTH MANAGEMENT, LLC
ELIOT ROSE ASSET MANAGEMENT, LLC | ELIOT ROSE WEALTH MANAGEMENT, LLC | ELIOT ROSE WEALTH MANAGEMENT
CRD#: 120465 / SEC#: 801-121354
RIA
Registered Investment Advisory firm - (7/2/2021 Approved)Connecticut
Registered Investment Advisory firm - (7/27/2021 Terminated)Florida
Registered Investment Advisory firm - (7/26/2021 Terminated)Massachusetts
Registered Investment Advisory firm - (7/26/2021 Terminated)New York
Registered Investment Advisory firm - (7/26/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/7/2016 Terminated)Rhode Island
Registered Investment Advisory firm - (7/26/2021 Terminated)Texas
Registered Investment Advisory firm - (7/26/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1300 Division Road Suite 301, West Warwick, RI 02893
Mailing Address
Phone number
(401) 588-5102
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 352 |
| AUM (Assets Under Management) | $ 152,815,670 |
Red Flags
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Company Information
ELIOT ROSE WEALTH MANAGEMENT, LLC
CRD#: 120465West Warwick, RI 02893TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
