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JASON PATRICK WOOTEN
JASON WOOTEN, Jason P Wooten, Jason Patrick Wooten
CRD#: 5258354
IA
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VANGUARD ADVISERS, INC.CRD#: 106715 2525 WATER RIDGE PARKWAY
1 NORTH FALLS PLAZA STE 100
CHARLOTTE, NC 28217
1 NORTH FALLS PLAZA STE 100
CHARLOTTE, NC 28217
VANGUARD MARKETING CORPORATIONCRD#: 7452 2525 WATER RIDGE PARKWAY
1 NORTH FALLS PLAZA, STE 100
CHARLOTTE, NC 28217
1 NORTH FALLS PLAZA, STE 100
CHARLOTTE, NC 28217
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Disclosures
17
Years of Experience
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State Registrations
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North Carolina 7/9/2019
IA
Texas 7/10/2019
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North Carolina 7/9/2019
SRO Registrations
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Registered with this firm since 7/9/2019
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Registered with this firm since 7/9/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/01/2017 - 05/28/2019 | CINCINNATI, OH | |
B | 08/01/2017 - 05/28/2019 | CINCINNATI, OH | |
IA | 02/24/2014 - 05/08/2017 | CINCINNATI, OH | |
B | 02/24/2014 - 05/08/2017 | CINCINNATI, OH | |
IA | 10/17/2008 - 02/03/2014 | THE WOODLANDS, TX | |
IA | 10/17/2008 - 02/03/2014 | THE WOODLANDS, TX | |
B | 10/17/2008 - 02/03/2014 | THE WOODLANDS, TX | |
IA | 12/11/2007 - 10/09/2008 | BLUE ASH, OH | |
B | 02/08/2007 - 10/09/2008 | COVINGTON, KY |
CINCINNATI, OH
08/01/2017 - 05/28/2019
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.