Jason Waxler has been Chief Compliance Officer of Income & Asset Advisory since December 2024, is a control person of the firm and directly owns between 50% and 75% of it. Jason Waxler studied at NYU Stern School of Business.
Income & Asset Advisory, Inc. is an Armonk, NY firm with $175M under management, 287 clients and 4 advisers across 2 offices, as of its August 2026 filing.
Jason Waxler is Principal of Income & Asset Advisory, Inc., based in Armonk, New York. He began his career as a Eurodollar and Fed Funds trader, then, after earning his degree in 1987, joined Smith Barney's OTC equities trading desk; in 1990 he moved to independent commodity trading on the New York Board of Trade. He later launched his own advisory practice and has focused on individuals, families, and small businesses over the past decade.
Jason Waxler’s longest registration is the current one, 14 years at Income & Asset Advisory since 2012. Before joining Income & Asset Advisory in 2012, Jason Waxler was registered through Fogel Neale Wealth Management, LLC and American Portfolios Advisors, Inc.
- Osaic Wealth, Inc.Also current– present · 2 yearsArmonk, NY · Adviser representative · Firm CRD 23131
- American Portfolios Advisors, Inc– · 5 yearsHolbrook, NY · Adviser representative · Firm CRD 112697
- – present · 14 yearsArmonk, NY · Adviser representative · Firm CRD 124955
- Fogel Neale Wealth Management, LLC– · 1 yearNew York, NY · Adviser representative · Firm CRD 149329
- American Portfolios Advisors, Inc– · 3 yearsHolbrook, NY · Adviser representative · Firm CRD 112697
- Linsco/Private Ledger Corp.– · 3 yearsWestport, CT · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
Jason Waxler is registered as an investment adviser representative in 4 states. The first approvals date from March 2012; the most recent is District of Columbia, in October 2024.
- ConnecticutSince 23 April 2012
- District of ColumbiaSince 11 October 2024
- New JerseySince 27 March 2012
- New YorkSince 15 August 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 4 | Registered Options Principal Examination | 23 July 2008 |
| Series 24 | General Securities Principal Examination | 6 June 2007 |
| Series 65 | Uniform Investment Adviser Law Examination | 4 January 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 18 August 2000 |
| Series 7 | General Securities Representative Examination | 2 March 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Jason David Waxler
- CRD
- 1756279
- Firm
- Income & Asset Advisory · CRD 124955
- Role
- Chief Compliance Officer
- Office
- 80 BUSINESS PARK DRIVE, SUITE 108, Armonk, NY 10504
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 2000
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- theadvisory.com
Where does Jason Waxler work?
Jason Waxler has been Chief Compliance Officer of Income & Asset Advisory, Inc. since December 2024, and is a control person of the firm.
Is Jason Waxler a financial advisor?
Yes. Jason Waxler has a current investment-adviser registration in Connecticut, District of Columbia, New Jersey and New York, through Income & Asset Advisory since March 2012.
How many years of experience does Jason Waxler have?
Jason Waxler has 26 years in the financial industry, since April 2000, across 5 adviser firms.
What exams has Jason Waxler passed?
Jason Waxler has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 24 and Series 4. The earliest, the Series 7, was passed in March 2000. FINRA credited Jason Waxler with the SIE, which began in October 2018.
Where did Jason Waxler work before Income & Asset Advisory?
Before Income & Asset Advisory, Jason Waxler was registered through American Portfolios Advisors, Inc, December 2008 to March 2012; Linsco/Private Ledger Corp., January 2001 to April 2004.
Where is Jason Waxler based?
Jason Waxler’s registered office is in Armonk, NY.
Is Jason Waxler registered with FINRA?
Yes. Jason Waxler has a current broker registration, under CRD 1756279.
Source: FINRA BrokerCheck
How can I verify Jason Waxler’s record?
Search CRD 1756279 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Jason Waxler’s full registration record.
