DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Jason Michael Simmons

Advisor at RED OAK FINANCIAL GROUP

TOWSON, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1ff4478b-fe8a-e01c-42b8-a930bdc54f46

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jan 1, 1999 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: RED OAK FINANCIAL GROUP
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 20, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66|S63|S65
First exam: Oct 20, 1997
First registration: Jan 1, 1999
Dual registered: yes, broker-dealer
Other names: JASON MICHAEL SIMMONS
IAPD individual key: 2909514

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
RED OAK FINANCIAL GROUP	Independent wealth	Mar 14, 2025	n/a	yes	TOWSON, MD	Current employment
LPL ENTERPRISE, LLC	Bd affiliated wealth	Nov 14, 2024	Mar 3, 2025	no	FOREST HILL, MD\|FOREST HILL, MD\|COCKEYSVILLE, MD	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Nov 3, 2022	Nov 14, 2024	no	Forest Hill, MD	Previous registration
OSAIC FA, INC.	Former SEC adviser	Jul 7, 2017	Aug 11, 2017	no	HUNT VALLEY, MD	Previous registration
FISHER INVESTMENTS	Independent wealth	Apr 26, 2017	May 24, 2017	no	BELAIR, MD\|PLANO, TX	Previous registration
RED OAK FINANCIAL GROUP	Independent wealth	Apr 12, 2013	Oct 13, 2015	no	TOWSON, MD	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 2, 2005	May 2, 2013	no	TOWSON, MD	Previous registration
OSAIC FA, INC.	Former SEC adviser	Jan 1, 1999	Nov 9, 2005	no	LUTHERVILLE, MD	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
LPL ENTERPRISE, LLC	RED OAK FINANCIAL GROUP	Mar 3, 2025	Mar 14, 2025	11	Firm change	Other
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
OSAIC FA, INC.	PRUCO SECURITIES, LLC	Aug 11, 2017	Nov 3, 2022	1,910	Firm change after gap	Other
FISHER INVESTMENTS	OSAIC FA, INC.	May 24, 2017	Jul 7, 2017	44	Firm change	Other
RED OAK FINANCIAL GROUP	FISHER INVESTMENTS	Oct 13, 2015	Apr 26, 2017	561	Firm change after gap	Other
LPL FINANCIAL LLC	RED OAK FINANCIAL GROUP	May 2, 2013	Apr 12, 2013	-20	Firm change	Other
OSAIC FA, INC.	LPL FINANCIAL LLC	Nov 9, 2005	Nov 2, 2005	-7	Firm change	Other

Relationships

Registered with (6)

→ RED OAK FINANCIAL GROUPRegistered adviserregistration: previous registration
Apr 12, 2013 to Oct 13, 2015factForm ADV
→ LPL ENTERPRISE, LLCRegistered adviserregistration: previous registration
Nov 14, 2024 to Mar 3, 2025factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Nov 3, 2022 to Nov 14, 2024factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Jul 7, 2017 to Aug 11, 2017factForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Apr 26, 2017 to May 24, 2017factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 2, 2005 to May 2, 2013factForm ADV

Dated events

Occurred
Mar 3, 2025
Advisor changed firm
Jason Michael Simmons left Lpl Enterprise, Llc for Red Oak Financial Group (registered 2025-03-14)
Form ADVobserved 4 days ago