Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mason? Claim Your ProfileAdvisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
GA
08/05/2022 - Present
Wealthpenn.comllc (Alpharetta GA)
GA
08/27/2020 - 09/05/2023
E*TRADE SECURITIES LLC (ALPHARETTA GA)
GA
02/26/2004 - 11/18/2019
E*TRADE SECURITIES LLC (ALPHARETTA GA)
IL
08/08/2003 - 02/27/2004
STATE FARM VP MANAGEMENT CORP. (BLOOMINGTON IL)
AZ
04/11/2002 - 10/29/2002
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (SCOTTSDALE AZ)
CA
05/03/2001 - 04/18/2002
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
GA
12/11/1998 - 07/02/1999
J.P. TURNER & COMPANY, L.L.C. (ATLANTA GA)
FL
08/18/1998 - 12/16/1998
FIRST ATLANTA SECURITIES, LLC (DESTIN FL)
NY
02/07/1996 - 08/18/1998
VTR CAPITAL, INC. (NEW YORK NY)
CO
02/05/1996 - 02/08/1996
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
BC
Issued 1/31/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 5/22/1998
Series 4 - Registered Options Principal Examination
BC
Issued 3/26/1998
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 1/2/2023
Series 57TO - Securities Trader Exam
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/22/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 3/9/2005
Series 3 - National Commodity Futures Examination
BC
Issued 2/2/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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