J A. Curty Case
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.
J Ann Curty Case, CFP®, who also goes by Ann J Curty Case, Judith Ann Curty, J Ann Curtycase, Judith Ann Curtycase, was a registered financial professional .
J is a previously registered financial professional and started their career in finance in 1992. J had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1987
Experience
August 26, 2019 - December 31, 2020
PCG WEALTH MANAGEMENT
July 3, 2002 - January 23, 2020
LPL FINANCIAL LLC
July 3, 2002 - December 31, 2020
LPL FINANCIAL LLC
February 11, 1999 - July 9, 2002
EDWARD JONES
October 7, 1992 - July 9, 2002
EDWARD JONES
February 12, 1992 - October 13, 1992
LASALLE ST SECURITIES, L.L.C.
Primary Firm SEC Registration
PCG WEALTH MANAGEMENT
CRD#: 290977 / SEC#: 801-112183
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
Current Firm
PCG WEALTH MANAGEMENT
CRD#: 290977 / SEC#: 801-112183
Contact information
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,795 |
| AUM (Assets Under Management) | $ 765,458,126 |
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.
