Steven W. Ash
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.
Steven William Ash was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1987. Steven had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 3 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
August 17, 2015 - October 7, 2016
INVESTMENT MANAGEMENT GROUP
June 27, 2014 - September 10, 2015
BRIGHTWATER CAPITAL MGMT
April 3, 2012 - December 31, 2012
HORIZON CAPITAL PARTNERS LLC
September 29, 2004 - August 27, 2014
OPTIMA CAPITAL MANAGEMENT
March 14, 1997 - September 20, 2004
CHARLES SCHWAB & CO., INC.
February 2, 1994 - September 20, 2004
CHARLES SCHWAB & CO., INC.
February 15, 1988 - September 10, 1990
LEHMAN BROTHERS INC.
July 22, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
INVESTMENT MANAGEMENT GROUP
CRD#: 122166 / SEC#: 801-61567
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 8
Date: 4/24/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INVESTMENT MANAGEMENT GROUP
CRD#: 122166 / SEC#: 801-61567
Contact information
SEC notice filing (16 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,813 |
| AUM (Assets Under Management) | $ 5,065,457,259 |
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.
