Jason D. Falk

WMS WEALTH MANAGEMENT LLC

Mukilteo, WA 98275

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CRD#: 6850587

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.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Jason has worked at 4 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.

Insurance Agent - Start Date: 06/2019 - Non-investment Related - Insurance lines of business: life and health and Annuities - Hours/per week during trading hours: 20

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason David Falk'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®

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

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.

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

CRD#: 137906

Seattle, WA

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)

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 65

Date: 2/27/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/2/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/12/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/28/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/26/2024

Investment Company Products/Variable Contracts Principal Examination

Current Firm

WMS WEALTH MANAGEMENT LLC

CRD#: 311372 / SEC#:

Idaho

Registered Investment Advisory firm - (4/8/2025 Approved)

Washington

Registered Investment Advisory firm - (12/11/2020 Approved)

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Contact information

Main Address

12189 Greenhaven Suite 108, Mukilteo, WA 98275

Mailing Address

Phone number

(206) 726-1633

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	136
AUM (Assets Under Management)	$ 39,019,248

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. Falk

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason David Falk's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

COLONY PARK FINANCIAL SERVICES LLC.

SANDLAPPER SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/27/2019

Series 63

Date: 5/2/2018

Series 6TO

Date: 1/12/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/28/2018

Series 26

Date: 2/26/2024

Current Firm

WMS WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WMS WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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