JASON R RASMUSSEN is currently employed as a Broker and/or Investment Adviser at SECURITIES SERVICE NETWORK, LLC located at 405 NORTH CALHOUN RD, SUITE 106, BROOKFIELD, WI, 53005.
JASON R RASMUSSEN has worked at SECURITIES SERVICE NETWORK, LLC since June 26, 2017
JASON R RASMUSSEN has 6 Disclosure Event(s).
Date: August 30, 2016 Category: Regulatory Initiated By: WISCONSIN DEPARTMENT OF FINANCIAL INSTITUTIONS Allegations: WISCONSIN DFI PUT AN ORDER AGAINST RASMUSSEN MORTGAGE INC. FOR NOT HAVING THE REQUIRED $100,000 NET WORTH AT YEAR END. Resolution: Order Sanctions: fined Broker Comment: THE CPA THAT DID MY AUDITED FINANCIALS HAD ACCIDENTALLY DEPRECIATED AN ASSET THAT WAS PUT INTO THE COMPANY FOR ASSET PURPOSES ONLY. THE CORRECTION WAS MADE AND THE COMPANY HAD THE REQUIRED NET WORTH.
Date: January 21, 2011 Category: Regulatory Initiated By: Wisconsin DFI Allegations: I was reprimanded for not properly disclosing my previous reprimands for improper disclosure. Resolution: Acceptance, Waiver & Consent(AWC) Sanctions: Fined Broker Comment: I accidentally omitted previous reprimands on my mortgage broker application.
Date: May 24, 2010 Category: Regulatory
Date: December 04, 2009 Category: Regulatory Initiated By: WISCONSIN DEPARTMENT OF FINANCIAL INSTITUTIONS Allegations: REPRIMAND FOR NOT PROPERLY DISCLOSING PREVIOUS REPRIMANDS. Resolution: Settled SanctionDetails: Sanctions: Letter of Reprimand Broker Comment: I NOW HAVE ALL OF THESE REPRIMANDS CORRECTLY DISCLOSED TO THE DFI.
Date: January 14, 2008 Category: Regulatory Initiated By: WISCONSIN DEPARTMENT OF FINANCIAL INSTITUTIONS Allegations: Reprimand for in improper, fraudulent or dishonest dealing in the Huebner transaction. Resolution: Reprimand Sanctions: Fined Broker Comment: One of my loan originators had communications with personnel from Farmers and Merchants Union Bank. The loan originator requested a verification of deposit from them without the 60 day average balance on the statement. The loan originator is no longer working for my company.
Date: November 29, 2005 Category: Regulatory
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for JASON R RASMUSSEN, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More