Jason GarofaloCRD Number: 3008935
Current Firm: Ameriprise Financial Services, Inc.
Jason Garofalo (CRD# 3008935) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Las Vegas, NV and has over 18 years of experience in the finance industry.
Kingsbridge Wealth Management, Inc.
Hornor, Townsend & Kent, Inc.
Cathay Consultants Ltd.
|Ameriprise Financial Services Inc.||Henderson, NV||Nov 2015 - Current||1|
|Tricor Financial, LLC||Las Vegas, NV||Jul 2006 - Nov 2015||9|
|Tricor Advisory Services, LLC||Las Vegas, NV||Jul 2006 - Nov 2015||9|
|Tricor Financial Services, Ltd||Las Vegas, NV||May 2001 - Nov 2015||14|
|Invest Financial Corporation||Las Vegas, NV||May 2003 - Jun 2007||4|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Apr 1998|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
- Customer Dispute
Total Assets Under Management178,060MILLIONS
Total Number of Accounts1,085,445ACCOUNTS
Average Account Value$164,044
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV