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Marcus Alan Ashworth

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Other Names: Marcus Allan Ashworth
Additional Firm:
Type: SEC and FINRA Registered

Marcus Ashworth is a financial professional at Triad Advisors, Inc., a broker-dealer with 840 registered representatives nationwide. Marcus is also registered with Ashworth Sullivan Wealth Management Group, a $66M RIA based in Alpharetta, GA. Marcus has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Ashworth & Sullivan Wealth Management Group, LLC 6 years, 5 months Jun 2009 - Present
Triad Advisors 6 years, 7 months Apr 2009 - Present
Ashworth & Sullivan 6 years, 7 months 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
ExamSeriesPassed Date
General Securities Principal ExaminationSeries 24 07/26/2007
General Securities Representative ExaminationSeries 7 03/13/1998
Uniform Securities Agent State Law ExaminationSeries 63 05/21/1997
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 05/19/1997

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

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

Firm Client Types

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

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

Licenses and Conduct

License Status

No Disclosures Found

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.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees