Jason D. Marty

401K INVESTMENT PROFESSIONALS

Waunakee, WI 53597

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CRD#: 6277199

Professional summary

Jason Donald Marty, who also goes by Jason D Marty, is a registered financial advisor currently at 401K INVESTMENT PROFESSIONALS located in Waunakee, Wisconsin.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Jason has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jason D Marty

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.

JASON D MARTY, LLC 5252 SNAPDRAGON TRL FITCHBURG, WI TITLE: OWNER DUTIES: INSURANCE SALES START DATE: 10/2004 HOURS DEVOTED:20 INSURANCE AND INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Donald Marty'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

February 26, 2016 - Present

401K INVESTMENT PROFESSIONALS

Office #1: 114 E. Main St. Suite 213, Waunakee, WI 53597

RIA

CRD#: 282495

Waunakee, WI

Past

August 29, 2014 - March 9, 2016

PACKERLAND BROKERAGE SERVICES, INC.

RIA

CRD#: 37031

MADISON, WI

Past

August 29, 2014 - March 9, 2016

PACKERLAND BROKERAGE SERVICES, INC.

CRD#: 37031

GREEN BAY, WI

Past

March 27, 2014 - August 15, 2014

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

MADISON, WI

Past

March 4, 2014 - August 15, 2014

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MADISON, WI

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".

401K INVESTMENT PROFESSIONALS

CRD#: 282495 / SEC#: 801-117105

RIA

Registered Investment Advisory firm - (8/1/2019 Approved)

Wisconsin

Registered Investment Advisory firm - (8/9/2019 Terminated)

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.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(2/26/2016)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/26/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/9/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/4/2014

General Securities Representative Examination

Current Firm

401K INVESTMENT PROFESSIONALS

CRD#: 282495 / SEC#: 801-117105

RIA

Registered Investment Advisory firm - (8/1/2019 Approved)

Wisconsin

Registered Investment Advisory firm - (8/9/2019 Terminated)

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Contact information

Main Address

114 E. Main St. Suite 213, Waunakee, WI 53597

Mailing Address

Phone number

(608) 334-9367

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-INVESTMENT PROFESSIONALS, LLC (2/13/2025)

Regulatory assets under management

Total Number of Accounts	131
AUM (Assets Under Management)	$ 311,000,000

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 D. Marty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Donald Marty's CRS (Customer Relationship Summary).

Certified licenses

Experience

PACKERLAND BROKERAGE SERVICES, INC.

PACKERLAND BROKERAGE SERVICES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

401K INVESTMENT PROFESSIONALS

State Registrations and Notice Filings

Exams

Series 66

Date: 3/26/2014

SIE

Date: 3/9/2016

Series 7

Date: 3/4/2014

Current Firm

401K INVESTMENT PROFESSIONALS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

401K INVESTMENT PROFESSIONALS

TRUST BUT VERIFY

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