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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 674 registered representatives nationwide. Marcus has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Ashworth & Sullivan Wealth Management Group, LLC 5 years, 5 months Jun 2009 - Present
Triad Advisors 5 years, 7 months Apr 2009 - Present
Ashworth & Sullivan 5 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
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

No Disclosures Found

1 Customer Dispute

1 Termination

As of Date
11/04/2014
11/04/2014
*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