DID JASON MICHAEL SMITH CAUSE YOU INVESTMENT LOSSES?
About Jason Smith of Creative Planning?
Jason Smith (CRD #2496515) has been in the financial services industry since 1995. He has worked with several notable firms, including Lockton Investment Securities, Cetera Advisors, and Royal Alliance Associates. He holds a Certified Financial Planner (CFP) designation and has passed multiple securities exams, such as the Series 7 and Series 63. His most recent registration was with Creative Planning, LLC.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Jason Smith Customer Complaints and Reviews
Jason Michael Smith has one customer dispute.Customer Dispute:: July 18, 2016
- Allegations: The client alleged misrepresentation related to a private placement investment.
- Outcome: The complaint was withdrawn on October 24, 2016.
Allegations Against Jason Smith
Customer Complaint: The 2016 customer complaint involved alleged misrepresentation in a private placement but was ultimately withdrawn with no financial settlement.
Jason Smith Employment History and Registrations
Employment History:
- Lockton Investment Securities (2018–2021)
- Cetera Advisors (2006–2018)
- Royal Alliance Associates (2001–2006 and 1996–1998)
- Professional Designation: Certified Financial Planner (CFP)
Exams Passed:
- Series 7 (General Securities Representative) 1995
- Series 63 (Uniform Securities Agent State Law) 1995
- Securities Industry Essentials (SIE) 2018
- Series 26 (Investment Company Products/Variable Contracts Principal) 2022
Investment Advisors Owe Clients The Highest Level Of Care
Investment advisors must adhere to fiduciary duties, prioritizing their clients’ best interests above all else. This includes full transparency regarding fees, risks, and conflicts of interest associated with investment recommendations. Advisors are expected to exercise a duty of care by conducting thorough research and tailoring strategies to each client’s specific financial goals and risk tolerance. Upholding these fiduciary standards fosters trust and ensures clients receive the most ethical and effective financial guidance.
Option Trading Can Be Extremely Risky
Options trading carries substantial risks, particularly for inexperienced investors. High-risk strategies like selling uncovered (naked) options expose clients to unlimited potential losses if market conditions shift unfavorably. For instance, selling a naked call can result in significant financial damage if the underlying asset’s price rises unexpectedly. Advisors must ensure clients fully understand these risks and align any options trading activity with their financial goals and risk tolerance, emphasizing caution in such complex investment strategies.
David Scott Red Flags & Your Rights As An Investor
Of course, Jason Smith did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Jason Smith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Creative Planning Due To Jason Smith
If you have questions about about Creative Planning and/or Jason Smith and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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