Jason Rippy
Compliance Specialist
As a Compliance Specialist, Jason works on compliance matters for the firm. Jason has 20 years of experience in the banking and financial industry with Wells Fargo Advisors, LLC, and LPL Financial.
Jason’s comprehensive and diversified experience affords him a holistic perspective in the wealth management industry. Accuracy, efficiency and earning a client’s trust and respect are goals Jason strives to meet with every interaction.
Jason works with the firm’s principals and specializes in implementing internal controls to ensure the firm stays up-to-date with all rules and regulations.
Jason supports Hands on Charlotte.
Professional Credentials
Securities Exams Passed:
Series 7 – General Securities Representative Exam
Series 63- Uniform Securities Agent State Law Exam