Marni-lee Dye
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Marni-lee Dye, who also goes by Marni Lee Dye, Marni Lee L Dye, Marni-lee Lee Dye, Marni Lee Gross, Marni-lee ^ Gross ^, Marni-lee ^ Heaslip ^, was a registered financial professional .
Marni-lee is a previously registered financial professional and started their career in finance in 1985. Marni-lee had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2021 - June 5, 2023
WORTHINGTON WEALTH MANAGEMENT
February 4, 2019 - May 4, 2021
BENJAMIN F. EDWARDS & COMPANY, INC.
February 4, 2019 - May 4, 2021
BENJAMIN F. EDWARDS & COMPANY, INC.
September 9, 2013 - December 20, 2018
MORGAN STANLEY
September 6, 2013 - December 20, 2018
MORGAN STANLEY
January 30, 2013 - August 27, 2013
J.P. MORGAN SECURITIES LLC
January 30, 2013 - August 27, 2013
J.P. MORGAN SECURITIES LLC
January 19, 2011 - October 18, 2012
HERBERT J. SIMS & CO, INC.
July 1, 2009 - January 28, 2011
JANNEY MONTGOMERY SCOTT LLC
April 29, 2009 - January 28, 2011
JANNEY MONTGOMERY SCOTT LLC
December 2, 2008 - May 7, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 2008 - May 7, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - January 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - January 3, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 27, 2003 - March 8, 2006
ADVEST, INC.
March 6, 1992 - March 8, 2006
ADVEST, INC.
July 24, 1985 - March 23, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
WORTHINGTON WEALTH MANAGEMENT
CRD#: 312951 / SEC#: 801-120511
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 11/3/2022
General Securities Representative ExaminationSeries 8
Date: 12/17/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WORTHINGTON WEALTH MANAGEMENT
CRD#: 312951 / SEC#: 801-120511
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 321 |
| AUM (Assets Under Management) | $ 127,961,399 |
Red Flags
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