Jasen M. Roos
Professional summary
Jasen Michael Roos, who also goes by Jasen M Roos, is a registered financial professional currently at TOBIN & COMPANY SECURITIES LLC located in Charlotte, North Carolina.
Jasen is registered as a RR (Registered Representative) and started their career in finance in 2013. Jasen has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jasen Michael Roos's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2025 - Present
TOBIN & COMPANY SECURITIES LLC
Office #1: 101 South Tryon Street Suite 2700, Charlotte, NC 28280November 1, 2024 - December 31, 2024
SKYWAY CAPITAL MARKETS, LLC
November 27, 2018 - September 6, 2024
CCO CAPITAL, LLC
July 9, 2013 - September 4, 2018
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/13/2025)
(1/15/2025)
Exams
FINRA
Current Firm
TOBIN & COMPANY SECURITIES LLC
CRD#: 137918 / SEC#: , 8-67134
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOBIN & COMPANY INVESTMENT BANKING GROUP LLC | PARENT COMPANY | |
| TOBIN, JUSTINE EIDT | CHIEF COMPLIANCE OFFICER | 1641345 |
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.
