John P. Ashford
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.
John Pickett Ashford, who also goes by John Ashford, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 12 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2023 - June 15, 2023
MARINER WEALTH
August 29, 2022 - February 2, 2023
COMMONWEALTH FINANCIAL NETWORK
January 6, 2016 - December 31, 2016
PFS INVESTMENTS INC.
November 13, 2015 - December 31, 2015
PFS INVESTMENTS INC.
October 20, 2011 - April 15, 2013
PRINCIPAL SECURITIES, INC.
October 5, 2011 - April 15, 2013
PRINCIPAL SECURITIES, INC.
January 27, 2009 - October 4, 2011
VOYA FINANCIAL ADVISORS, INC.
January 14, 2009 - October 4, 2011
VOYA FINANCIAL ADVISORS, INC.
December 11, 2007 - December 31, 2008
VOYA FINANCIAL ADVISORS, INC.
November 1, 2007 - December 31, 2008
VOYA FINANCIAL ADVISORS, INC.
October 2, 2006 - November 1, 2007
KESTRA INVESTMENT SERVICES, LLC
October 2, 2006 - November 1, 2007
KESTRA INVESTMENT SERVICES, LLC
July 20, 2006 - October 20, 2006
EAGLE STRATEGIES LLC
April 27, 2006 - October 20, 2006
NYLIFE SECURITIES LLC
September 15, 2003 - April 4, 2006
KESTRA INVESTMENT SERVICES, LLC
January 22, 2003 - August 5, 2003
MML INVESTORS SERVICES, LLC
December 12, 2001 - January 14, 2003
NEW ENGLAND SECURITIES
May 13, 1996 - June 4, 2002
W.C. SMITH & COMPANY, INC.
November 15, 1994 - May 16, 1996
WALNUT STREET SECURITIES, INC.
July 14, 1993 - December 1, 1994
VOYA FINANCIAL ADVISORS, INC.
May 25, 1993 - July 26, 1993
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
MARINER WEALTH
CRD#: 140195 / SEC#: 801-66632
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
MARINER WEALTH
CRD#: 140195 / SEC#: 801-66632
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 155,767 |
| AUM (Assets Under Management) | $ 98,603,233,201 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 11/19/2024 | ||
| 12/21/2023 |
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.
