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Detailed Report
Jason M Williams
JASON MICHAEL WILLIAMS
CRD#: 4077556
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 9800 Schwab Way
Lone Tree, CO 80124
CHARLES SCHWAB & CO., INC.CRD#: 5393 9800 Schwab Way
Lone Tree, CO 80124
Registration History
20002002200420062008201020122014201620182020202220242026IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2012 - Present (13 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2000 - Present (24 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2003 - 2011 (8 years)
Disclosure(s)
View By:
8/25/2011
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 8/4/2014
B
Massachusetts 9/26/2013
B
Arizona 1/3/2006
B
Mississippi 4/4/2018
B
Arkansas 6/23/2020
B
Missouri 3/29/2018
B
California 4/26/2000
B
Nevada 1/3/2006
B
Colorado 4/7/2000
B
New Jersey 5/5/2011
IA
Colorado 1/3/2012
B
New Mexico 3/8/2024
B
Connecticut 2/9/2024
B
New York 5/5/2011
B
Florida 5/30/2000
B
North Carolina 10/13/2021
B
Georgia 6/15/2007
B
Ohio 8/15/2008
B
Hawaii 5/5/2011
B
Pennsylvania 5/18/2020
B
Illinois 1/3/2006
IA
Pennsylvania 5/18/2020
B
Iowa 2/8/2024
B
Texas 5/25/2000
B
Kansas 4/17/2017
IA
Texas 1/6/2020
B
Kentucky 2/8/2024
B
Virginia 2/18/2020
B
Louisiana 3/11/2008
B
Washington 8/8/2005
B
Maryland 8/16/2012
B
Wisconsin 10/28/2005

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 1/3/2012
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 4/7/2000
Previous Registration(s)
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IA
 03/12/2003 - 12/31/2011 CHARLES SCHWAB & CO., INC. (CRD#:5393) ENGLEWOOD, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.