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JF

Jason D. Falk

WMS WEALTH MANAGEMENT LLC
Mukilteo, WA 98275
Some features on this profile are disabled
CRD#: 6850587
JF

Professional summary

Jason David Falk, who also goes by Jason D Falk, Jason David Falk, Jason Falk, is a registered financial advisor currently at WMS WEALTH MANAGEMENT LLC located in Mukilteo, Washington and THE RETIREMENT SOLUTION LLC located in Redmond, Washington.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Jason has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jason D Falk | Jason David Falk | Jason Falk

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) - RIA

Click below to view Jason David Falk'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

March 26, 2025 - Present

WMS WEALTH MANAGEMENT LLC

Office #1: 12189 Greenhaven Suite 108, Mukilteo, WA 98275
RIA
CRD#: 311372
Mukilteo, WA
Current

January 14, 2026 - Present

THE RETIREMENT SOLUTION LLC

Office #1: 18300 Redmond Way Suite 250, Redmond, WA 98052
RIA
CRD#: 148106
Redmond, WA
Past

June 7, 2019 - December 4, 2024

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA
CRD#: 611
Sacramento, CA
Past

June 7, 2019 - December 4, 2024

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
Sacramento, CA
Past

February 27, 2019 - June 4, 2019

COLONY PARK FINANCIAL SERVICES LLC.

RIA
CRD#: 41534
Seattle, WA
Past

March 28, 2018 - June 4, 2019

SANDLAPPER SECURITIES, LLC

BD
CRD#: 137906
Seattle, WA

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".
TR
THE RETIREMENT SOLUTION LLC
ABSOLUTE RETURN SOLUTIONS INC. | THE RETIREMENT SOLUTION LLC | THE RETIREMENT SOLUTION INC. | ABSOLUTE RETURN SOLUTIONS, INC.

CRD#: 148106 / SEC#: 801-113783

RIA
Registered Investment Advisory firm - (8/1/2018 Approved)
Arizona
Registered Investment Advisory firm - (9/10/2018 Terminated)
California
Registered Investment Advisory firm - (10/10/2018 Terminated)
Colorado
Registered Investment Advisory firm - (9/11/2018 Terminated)
Idaho
Registered Investment Advisory firm - (9/10/2018 Terminated)
Texas
Registered Investment Advisory firm - (9/10/2018 Terminated)
Utah
Registered Investment Advisory firm - (9/10/2018 Terminated)
Washington
Registered Investment Advisory firm - (10/10/2018 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
Washington
(3/26/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/27/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/2/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/12/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/28/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/26/2024
Investment Company Products/Variable Contracts Principal Examination

Current Firm

TR
THE RETIREMENT SOLUTION LLC
ABSOLUTE RETURN SOLUTIONS INC. | THE RETIREMENT SOLUTION LLC | THE RETIREMENT SOLUTION INC. | ABSOLUTE RETURN SOLUTIONS, INC.

CRD#: 148106 / SEC#: 801-113783

RIA
Registered Investment Advisory firm - (8/1/2018 Approved)
Arizona
Registered Investment Advisory firm - (9/10/2018 Terminated)
California
Registered Investment Advisory firm - (10/10/2018 Terminated)
Colorado
Registered Investment Advisory firm - (9/11/2018 Terminated)
Idaho
Registered Investment Advisory firm - (9/10/2018 Terminated)
Texas
Registered Investment Advisory firm - (9/10/2018 Terminated)
Utah
Registered Investment Advisory firm - (9/10/2018 Terminated)
Washington
Registered Investment Advisory firm - (10/10/2018 Terminated)
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Contact information

Main Address
18300 Redmond Way Suite 250, Redmond, WA 98052
Mailing Address
Phone number
(425) 558-3700
Established
Firm type
Fiscal year end
# of Employees
33

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

THE RETIREMENT SOLUTION - FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts2,888
AUM (Assets Under Management)$ 573,254,942

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

THE RETIREMENT SOLUTION LLC

CRD#: 148106Mukilteo, WA 98275

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