Jason Tom Rossi

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-06-14
NY	RA	APPROVED	2024-06-13

TX RA
APPROVED_RES

Since 2024-06-14
NY RA
APPROVED

Since 2024-06-13

Branch Locations

534 North Hawthorne St, Massapequa, NY 11758 • United States

Massapequa, NY • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Aegis Capital Corp	New York	NY	06/2011	06/2024
Lpl Financial Llc	Massapequa	NY	06/2024	Present

06/2011 → 06/2024

Aegis Capital Corp

New York, NY
06/2024 → Present

Lpl Financial Llc

Massapequa, NY

Other Businesses

1) 03/2024 - Real Estate Rental / Owner / Inv. Related / FL 34684- 4244 / Start date 03/04/2024 2) 03/2024 - Real Estate Rental / Owner / Inv. Related / FL 33763-3047 / Start date 03/08/2024

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-06-03
S63	Uniform Securities Agent State Law Examination	2001-04-24

S65 Uniform Investment Adviser Law Examination

2024-06-03
S63 Uniform Securities Agent State Law Examination

2001-04-24

View on SEC IAPD