Jason P. Tom
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 Phillip Tom, who also goes by Jason Tom, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2012. Jason had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2012 - February 5, 2013
DRAGON FINANCIAL GROUP
October 15, 2012 - November 29, 2012
PURSHE KAPLAN STERLING INVESTMENTS
May 23, 2012 - October 15, 2012
LPL FINANCIAL LLC
April 13, 2012 - October 15, 2012
LPL FINANCIAL LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DRAGON FINANCIAL GROUP
CRD#: 157936 / SEC#: 801-79669
Contact information
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.
