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Other Names: Marcus Allan Ashworth
Additional Firm:
Type: Dual Registration

Marcus Ashworth is an executive and is an owner of Ashworth Sullivan Wealth Management Group, a $55M RIA based in Alpharetta, GA. Marcus is also registered with Triad Advisors, Inc., a broker-dealer with 766 registered representatives nationwide. Marcus has held an industry securities registration for 8 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Marcus Alan Ashworth has not answered any questions on Financial Q&A.

Top Guides

Marcus Alan Ashworth has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Ashworth Sullivan Wealth Management Group 4 years, 10 months Jun 2009 - Present
Triad Advisors 5 years Apr 2009 - Present
Ashworth & Sullivan 5 years Apr 2009 - Present
LPL Financial LLC 1 year, 11 months May 2007 - Apr 2009
Morgan Keegan & Company, Inc. 6 years, 7 months Oct 2000 - May 2007
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 08/13/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

1 Customer Dispute

1 Termination

1 Customer Dispute

1 Termination

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
General Securities Principal Examination Series 24 07/26/2007
General Securities Representative Examination Series 7 03/13/1998
Uniform Securities Agent State Law Examination Series 63 05/21/1997
Investment Company Products/Variable Contracts Representative Examination Series 6 05/19/1997

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees