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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)17 years in industry

JASON JAMES FRANK

Advisor at LPL FINANCIAL LLC

WILLISTON, VT

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Search this name across graphsid dfx:ria:af01f9fa-f0a4-9190-08c0-c2233787d720

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Sep 7, 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: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 4, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Sep 4, 2009
First registration: Sep 7, 2009
Dual registered: yes, broker-dealer
Other names: JASON JAMES FRANK|JASON J FRANK
IAPD individual key: 5634248

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
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 22, 2025	n/a	yes	WILLISTON, VT	Current employment
MORGAN STANLEY	Wirehouse	Mar 25, 2014	Mar 25, 2025	no	Colchester, VT\|Boston, MA\|COLCHESTER, VT\|Colchester, VT\|Burlington, VT\|Burlington, VT\|PORTSMOUTH, NH	Previous registration
ROCK POINT ADVISORS, LLC	Independent wealth	Jul 10, 2013	Mar 12, 2014	no	BURLINGTON, VT	Previous registration
MORGAN STANLEY	Wirehouse	Nov 5, 2010	Jul 9, 2013	no	Colchester, VT	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Sep 7, 2009	Apr 7, 2010	no	NEW YORK, 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
MORGAN STANLEY	LPL FINANCIAL LLC	Mar 25, 2025	Apr 22, 2025	28	Firm change	Wirehouse to ibd
ROCK POINT ADVISORS, LLC	MORGAN STANLEY	Mar 12, 2014	Mar 25, 2014	13	Firm change	Other
MORGAN STANLEY	ROCK POINT ADVISORS, LLC	Jul 9, 2013	Jul 10, 2013	1	Firm change	Other
HSBC SECURITIES (USA) INC.	MORGAN STANLEY	Apr 7, 2010	Nov 5, 2010	212	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 22, 2025 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Mar 25, 2014 to Mar 25, 2025factForm ADV
→ ROCK POINT ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 10, 2013 to Mar 12, 2014factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Sep 7, 2009 to Apr 7, 2010factForm ADV

Dated events

Occurred
Mar 25, 2025
Advisor changed firm
Jason James Frank left Morgan Stanley for Lpl Financial Llc (registered 2025-04-22)
Form ADVobserved 6 days ago