MA
Marion S. Adams
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CRD#: 1392435
MA
Professional summary
Marion Strickler Adams III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Marion is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Marion had worked at 4 firms, which includes JEFFREY MATTHEWS WEALTH MANAGEMENT LLC, THE JEFFREY MATTHEWS FINANCIAL GROUP L.L.C., RAYMOND JAMES & ASSOCIATES INC., MORGAN KEEGAN & COMPANY LLC.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ma'on Adams
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)Name of Business : Country Club of Mobile
Address: mobile, AL
Nature of the Business: Board Member/Officer/Director
Position/Title: Director
Investment Related:No
Start Date: 05/21/2020
Hours per month devoted to this business: 1
Hours per month devoted to this business during trading hours: 0
Description of duties: member of board of directors
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
January 24, 2022 - March 5, 2024
JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC
RIA
CRD#: 155392
Mobile, AL
Past
January 19, 2022 - March 5, 2024
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
BD
CRD#: 41282
Mobile, AL
Past
February 13, 2013 - November 5, 2021
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
MOBILE, AL
Past
February 13, 2013 - November 5, 2021
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
MOBILE, AL
Past
June 15, 1994 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
MOBILE, AL
Past
September 24, 1985 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MOBILE, AL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JM
JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC
JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC
CRD#: 155392 / SEC#: 801-132626
RIA
Registered Investment Advisory firm - (4/30/2025 Approved)Alabama
Registered Investment Advisory firm - (6/27/2018 Approved)California
Registered Investment Advisory firm - (6/20/2019 Approved)Colorado
Registered Investment Advisory firm - (5/31/2019 Approved)Connecticut
Registered Investment Advisory firm - (6/5/2018 Approved)District of Columbia
Registered Investment Advisory firm - (6/12/2018 Approved)Florida
Registered Investment Advisory firm - (6/4/2018 Approved)Georgia
Registered Investment Advisory firm - (8/17/2018 Approved)Louisiana
Registered Investment Advisory firm - (1/31/2022 Approved)Mississippi
Registered Investment Advisory firm - (2/18/2022 Approved)New Jersey
Registered Investment Advisory firm - (5/10/2018 Approved)New York
Registered Investment Advisory firm - (5/21/2021 Approved)North Carolina
Registered Investment Advisory firm - (10/29/2020 Approved)Ohio
Registered Investment Advisory firm - (1/27/2022 Approved)Oklahoma
Registered Investment Advisory firm - (5/11/2022 Approved)South Carolina
Registered Investment Advisory firm - (5/4/2021 Approved)Tennessee
Registered Investment Advisory firm - (4/17/2019 Approved)Texas
Registered Investment Advisory firm - (2/15/2022 Conditional Restricted)Wisconsin
Registered Investment Advisory firm - (3/22/2017 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
JM
JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC
JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC
CRD#: 155392 / SEC#: 801-132626
RIA
Registered Investment Advisory firm - (4/30/2025 Approved)Alabama
Registered Investment Advisory firm - (6/27/2018 Approved)California
Registered Investment Advisory firm - (6/20/2019 Approved)Colorado
Registered Investment Advisory firm - (5/31/2019 Approved)Connecticut
Registered Investment Advisory firm - (6/5/2018 Approved)District of Columbia
Registered Investment Advisory firm - (6/12/2018 Approved)Florida
Registered Investment Advisory firm - (6/4/2018 Approved)Georgia
Registered Investment Advisory firm - (8/17/2018 Approved)Louisiana
Registered Investment Advisory firm - (1/31/2022 Approved)Mississippi
Registered Investment Advisory firm - (2/18/2022 Approved)New Jersey
Registered Investment Advisory firm - (5/10/2018 Approved)New York
Registered Investment Advisory firm - (5/21/2021 Approved)North Carolina
Registered Investment Advisory firm - (10/29/2020 Approved)Ohio
Registered Investment Advisory firm - (1/27/2022 Approved)Oklahoma
Registered Investment Advisory firm - (5/11/2022 Approved)South Carolina
Registered Investment Advisory firm - (5/4/2021 Approved)Tennessee
Registered Investment Advisory firm - (4/17/2019 Approved)Texas
Registered Investment Advisory firm - (2/15/2022 Conditional Restricted)Wisconsin
Registered Investment Advisory firm - (3/22/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
30b Vreeland Road Suite 210, Florham Park, NJ 07932
Mailing Address
Phone number
(888) 467-3636
Established
Firm type
Fiscal year end
# of Employees
16
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 360 |
| AUM (Assets Under Management) | $ 127,200,152 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
