Jason Fial (CRD# 4938200) is an Investment Advisor Representative working at Cetera Investment Advisers LLC in Sedona, AZ and has over 18 years of experience in the finance industry.
CRD# 4751789
Ubs Financial Services Inc.
CRD# 20406
Lpl Financial LLC
CRD# 2747263
Osaic Wealth, Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Cetera Investment Advisers LLC | Schaumburg, IL | Mar 2024 - Current | < 1 |
| Heartland Payroll Services | Scottsdale, AZ | Sep 2020 - Current | 3 |
| Cetera Advisors LLC | Denver, CO | May 2018 - Current | 5 |
| Country Insurance & Financial Services | Scottsdale, AZ | May 2003 - Mar 2018 | 14 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Nov 2005 |
| S65 | NASAA Investment Advisors Law Examination | Apr 2018 |
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, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- AZ
- TX
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Total Assets Under Management104,469MILLIONS
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Total Number of Accounts423,554ACCOUNTS
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Average Account Value$246,648
- 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)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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