Jason Kunz: $200K Investor Complaint Against Phoenix Advisor

Raymond James Financial Services advisor Jason Kunz (CRD# 4565340) allegedly made unauthorized trades, according to a recent investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Phoenix, Arizona. 

Mr. Kunz’s BrokerCheck report discloses one investor complaint against him. Filed in April 2022, it alleges that as a representative of Raymond James Financial Services, he engaged in unauthorized trading of exchange-traded funds between February 2020 and April 2022. The pending complaint alleges damages of $200,000.

In a statement on the complaint’s disclosure, Mr. Kunz defended himself against the allegations. “Client wanted to be in a growth portfolio,” he wrote, continuing: “They became very uneasy with the recent volatility. When their fear hit a peak they requested their account be sold out.”

According to the Financial Industry Regulatory Authority, Jason Kunz holds 19 years of securities industry experience. Based in Phoenix, Arizona, he has been a broker with Raymond James Financial Services since 2014 and an investment advisor with Raymond James Financial Services Advisors since 2019. His past registrations include Raymond James & Associates (Scottsdale, Arizona; 2010-2014), Edward Jones (Scottsdale, Arizona; 2003-2010), and Farmers Financial Solutions (Westlake Village, California; 2002-2003). His credentials include the passage of five securities industry qualifying exams: the General Securities Sales Supervisor – Options Module Examination, or Series 9; the General Securities Sales Supervisor – General Module Examination, or Series 10; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Kansas, Maryland, Michigan, Minnesota, Missouri, Nevada, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, Washington, and Wisconsin. (Information current as of August 5, 2022.)

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