Haselkorn & Thibaut has launched an independent investigation into Jason Li, a financial advisor based in Lacey, Washington, who previously worked with Merrill Lynch and is now registered with Madison Partners. With more than 50 years of combined experience, a 98% success rate, and millions recovered for investors, Haselkorn & Thibaut (1-888-885-7162) is dedicated to helping investors better understand their options should they encounter any financial advisor misconduct or red flags. If you’ve invested with Jason Li or have questions about your accounts, read on for a detailed, easy-to-understand summary of his record, as well as the next steps for protecting your investments. Free consultations are available and there’s no recovery, no fee.
Who Is Jason Li?
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Jason Li (CRD# 6314460) is a financial advisor with a decade of securities industry experience. He is currently licensed as an investment advisor in Washington State with Madison Partners. His career includes previous registrations with Merrill Lynch, Sovereign Global Advisors, and Primary Capital. Over the years, he has successfully passed key industry licensing exams such as the Securities Industry Essentials (SIE), Series 65, Series 63, and the Series 7 exam.
According to industry databases, his status as of March 2026 is active at Madison Partners. Investors can review FINRA BrokerCheck for updated details.
Why Haselkorn & Thibaut Is Investigating Jason Li
Recent findings highlight Jason Li’s termination by Merrill Lynch and prompt the need for careful review by investors. Haselkorn & Thibaut has opened their own investigation to ensure that investors’ accounts have not been compromised and that industry compliance standards were thoroughly adhered to. This investigation is part of our firm’s commitment to safeguarding investors’ interests and promoting transparency in the financial industry.
If you have any concerns about your investments with Jason Li, now may be the right time to ask questions and seek independent advice through a free, no-obligation consultation.
Summary Table: Jason Li — Registrations & Key Details
| Advisor Name | Jason Li |
|---|---|
| CRD Number | 6314460 |
| Current Firm | Madison Partners |
| Previous Firms | Merrill Lynch (terminated), Sovereign Global Advisors, Primary Capital |
| Licenses Held | SIE, Series 7, Series 63, Series 65 |
| Licensing State | Washington |
| Status (as of March 2026) | Active with Madison Partners |
Disclosures and Complaints: What Investors Need to Know
- Termination by Merrill Lynch (2018):
- Reason: Dismissed for alleged internal trading supervision breaches as stated by the firm. The incident is categorized as “customer-initiated termination/withdrawal” in regulatory filings.
- Details: No specific customer was named, and there were no damages claimed. The event is listed as closed, with no monetary sanction disclosed.
- No Regulatory Actions: There are no public FINRA or SEC disciplinary actions against Jason Li. This means as of this writing, he has not been subject to fines, suspensions, or other regulatory penalties by key industry oversight bodies.
- No Arbitrations or Lawsuits: There are no recorded customer complaints, arbitrations, or civil lawsuits naming Jason Li as an individual.
- No State Actions: Reviews with major state securities regulators have not revealed any public enforcement actions or administrative orders against Jason Li.
- No Bankruptcies or Judgments: There are no personal financial red flags such as bankruptcies, liens, or judgments on record.
Potential Red Flags for Investors
Though Jason Li’s record displays only a single termination disclosure from Merrill Lynch in 2018, this event warrants careful review. The termination cited “alleged policy violations (internal trading supervision breaches),” an event which, while not directly linked to customer harm, is noteworthy. Any financial advisor termination—especially related to supervision or compliance issues—should prompt investors to seek greater clarity and to regularly review their portfolio’s suitability.
It is important to note that there is no evidence at this time of client-specific complaints, lawsuits, or regulatory findings involving fraud or investor losses by Jason Li. That said, transparency and awareness are essential for every investor.
Understanding Industry Standards and Suitability Requirements
FINRA Rule 2010 requires financial professionals to uphold high standards of commercial honor and just and equitable principles of trade in their business activities. Similarly, SEC Regulation Best Interest obligates advisors to thoroughly evaluate each investor’s unique situation, risk tolerance, and investment objectives before making any recommendations. Violations of these standards—even if they don’t result in immediate regulatory action—can have a major impact on investors’ financial outcomes.
Advisors are expected to avoid unsuitable recommendations, especially for clients with lower risk tolerance or more conservative investment goals. If you have questions about the recommendations you’ve received, it is important to consult an independent professional to assess the appropriateness of your investments.
Key Takeaways for Investors
- Jason Li is currently registered as an investment advisor with Madison Partners in Lacey, Washington.
- He was terminated by Merrill Lynch in 2018 for allegations relating to internal trading supervision, but no specific customer complaint or regulatory violation has been formally reported.
- No known lawsuits, customer arbitrations, or financial red flags have surfaced in public records as of March 2026.
- Transparency, proactive account review, and open conversations with your advisor remain your best protections as an investor.
Next Steps: Protecting Your Investments
If you are an investor who worked with Jason Li—or if you simply want a second opinion on the suitability and performance of your investment accounts—you can speak directly with the experienced attorneys at Haselkorn & Thibaut for a confidential, no-obligation review of your situation. There is no cost unless there is a recovery for you. With a track record of success nationwide, their team is attentive, knowledgeable, and focused on your needs as an investor.
Call: 1-888-885-7162 to schedule your free consultation.
Your peace of mind matters. Even if you have not experienced direct harm, knowing that your advisor has been thoroughly vetted and that your portfolio is appropriate for your goals is essential.
Take the first step in protecting your financial future—reach out today for a review with Haselkorn & Thibaut’s investor advocacy team.
