Best Investors Account Sign in

Jason Stern

LPl Financial LLC

West Warwick, RI

CRD 6671118

Claim This Profile
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

AuthorityCategoryStatusDate
RI RA APPROVED 2025-04-09
MA RA APPROVED 2023-03-27
  • RI RA
    APPROVED
    Since 2025-04-09
  • MA RA
    APPROVED
    Since 2023-03-27

Branch Locations

1300 Division Rd Ste 201 Ste 201, West Warwick, RI 02893 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fidelity Investments Smithfield RI 07/2021 06/2022
Papa Ginos Taunton MA 10/2018 05/2019
Papa Ginos Taunton MA 10/2020 06/2021
Amazon Milford MA 05/2019 08/2019
Wells Fargo Providence RI 04/2017 09/2017
Wells Fargo Providence RI 04/2018 09/2018
Bridgewater State University Bridgewater MA 08/2016 05/2020
Unemployed Unemployed MA 05/2020 10/2020
Ameriprise Financial Services, Llc Cranston RI 10/2022 01/2023
Unemployed Taunton MA 06/2022 10/2022
Lpl Financial Llc West Warwick RI 03/2023 Present
  • 07/2021 → 06/2022
    Fidelity Investments
    Smithfield, RI
  • 10/2018 → 05/2019
    Papa Ginos
    Taunton, MA
  • 10/2020 → 06/2021
    Papa Ginos
    Taunton, MA
  • 05/2019 → 08/2019
    Amazon
    Milford, MA
  • 04/2017 → 09/2017
    Wells Fargo
    Providence, RI
  • 04/2018 → 09/2018
    Wells Fargo
    Providence, RI
  • 08/2016 → 05/2020
    Bridgewater State University
    Bridgewater, MA
  • 05/2020 → 10/2020
    Unemployed
    Unemployed, MA
  • 10/2022 → 01/2023
    Ameriprise Financial Services, Llc
    Cranston, RI
  • 06/2022 → 10/2022
    Unemployed
    Taunton, MA
  • 03/2023 → Present
    Lpl Financial Llc
    West Warwick, RI
Other Businesses

1) 3/2023 - Sardelli & Hutchinson Wealth Management / DBA for LPL Business (entity for LPL business) / Investment Related / at reported location(s).

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-01-06
S63 Uniform Securities Agent State Law Examination 2022-03-14
  • S65 Uniform Investment Adviser Law Examination
    2023-01-06
  • S63 Uniform Securities Agent State Law Examination
    2022-03-14
Other Names
  • Jason Asher Stern
  • Jason Stern

View on SEC IAPD

More in West Warwick, RI

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor