Jason Duwayne Roen

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
FL	RA	APPROVED	2025-08-18
WI	RA	APPROVED	2009-09-08

FL RA
APPROVED

Since 2025-08-18
WI RA
APPROVED

Since 2009-09-08

Branch Locations

New Smyrna Beach, FL • United States

Eau Claire, WI • 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

Organization	City	State	From	To
Lpl Financial Corporation	Madison	WI	09/2009	Present

09/2009 → Present

Lpl Financial Corporation

Madison, WI

Previous Registrations

2009-06-25 → 2009-09-08

Waterstone Financial Group, Inc.

Boston, MA

Madison, WI

Other Businesses

1. 3/17/2010: DBA ONLY - NOVY FINANCIAL. 2. 7/19/2010: REAL ESTATE RENTAL - SINGLE FAMILY RESIDENCES (2). NO CUSTOMERS ARE RENTERS OR ADVISORS OF ANOTHER B/D OR RIA. N 13960 COYOTE DR & N 12121 HACKBARTH RD. MINONG, WS 54859 - TIME SPENT 10. 3. 3/16/2012: REAL ESTATE RENTAL - NOVY VACATION RENTALS, LLC - 2 VACATION RENTALS ON LAKES IN WI. - TIME SPENT 5%. 4. 10/1/2014: OTHER-RV DEALERSHIP - 53RVS - OWNER - 20 HOURS PER MONTH/5 HOURS DURING TRADING - SARONA WI.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-06-24
S63	Uniform Securities Agent State Law Examination	1994-05-06

S65 Uniform Investment Adviser Law Examination

2009-06-24
S63 Uniform Securities Agent State Law Examination

1994-05-06

View on SEC IAPD