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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

Jason Klein

Advisor at J.P. MORGAN SECURITIES LLC

Boca Raton, FL

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Search this name across graphsid dfx:ria:0aa93f68-e92b-5d3d-6f03-3fafbe255b1b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Jan 23, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 14, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S66|S65
First exam: Sep 14, 2006
First registration: Jan 23, 2009
Dual registered: yes, broker-dealer
Other names: JASON KLEIN|Jason J Klein|JASON JOHN KLEIN
IAPD individual key: 5190157

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	Mar 25, 2025	n/a	yes	Boca Raton, FL	Current employment
Farther	Independent wealth	Aug 8, 2024	Dec 13, 2024	no	SAN FRANCISCO, CA\|Boynton Beach, FL	Previous registration
GLADSTONE WEALTH PARTNERS	Bd affiliated wealth	Feb 23, 2024	Mar 5, 2024	no	PALM BEACH GARDENS, FL\|Purchase, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 7, 2021	Feb 28, 2024	no	NEW CANAAN, CT\|Boynton Beach, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jun 26, 2017	Jun 1, 2021	no	New York, NY\|New York, NY\|NEW YORK, NY\|New York, NY\|Holbrook, NY\|New Canaan, CT\|Fort Lee, NJ\|Port Jefferson, NY\|Darien, CT\|Boca Raton, FL	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Jul 21, 2015	Jun 26, 2017	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 23, 2009	Dec 31, 2012	no	New York City, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
Farther	J.P. MORGAN SECURITIES LLC	Dec 13, 2024	Mar 25, 2025	102	Firm change	RIA to wirehouse
GLADSTONE WEALTH PARTNERS	Farther	Mar 5, 2024	Aug 8, 2024	156	Firm change	Ibd to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	GLADSTONE WEALTH PARTNERS	Feb 28, 2024	Feb 23, 2024	-5	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 1, 2021	Jun 7, 2021	6	Firm change	Ibd to wirehouse
HSBC SECURITIES (USA) INC.	CITIGROUP GLOBAL MARKETS INC.	Jun 26, 2017	Jun 26, 2017	0	Firm change	Other
CHARLES SCHWAB & CO., INC.	HSBC SECURITIES (USA) INC.	Dec 31, 2012	Jul 21, 2015	932	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19585:7059:NY:2017-06-14	Jun 26, 2017	Jun 26, 2017	NEW YORK, NY	Firm change

Relationships

Registered with (7)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Mar 25, 2025 to presentfactForm ADV
→ FARTHERRegistered adviserregistration: previous registration
Aug 8, 2024 to Dec 13, 2024factForm ADV
→ GLADSTONE WEALTH PARTNERSRegistered adviserregistration: previous registration
Feb 23, 2024 to Mar 5, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 7, 2021 to Feb 28, 2024factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jun 26, 2017 to Jun 1, 2021factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Jul 21, 2015 to Jun 26, 2017factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jan 23, 2009 to Dec 31, 2012factForm ADV

Dated events

Occurred
Dec 13, 2024
Advisor changed firm
Jason Klein left Farther for J.P. Morgan Securities Llc (registered 2025-03-25)
Form ADVobserved 4 days ago
Occurred
Mar 5, 2024
Advisor changed firm
Jason Klein left Gladstone Wealth Partners for Farther (registered 2024-08-08)
Form ADVobserved 4 days ago
Occurred
Feb 28, 2024
Advisor changed firm
Jason Klein left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Gladstone Wealth Partners (registered 2024-02-23)
Form ADVobserved 4 days ago