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Marcus Alan Ashworth

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Information

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

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 789 registered representatives nationwide. Marcus has held an industry securities registration for 8 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Ashworth Sullivan Wealth Management Group 5 years, 3 months Jun 2009 - Present
Triad Advisors 5 years, 5 months Apr 2009 - Present
Ashworth & Sullivan 5 years, 5 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
Exams
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 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

Individuals
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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Termination

1 Customer Dispute

1 Termination

As of Date
08/13/2013
11/19/2013
*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

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees