MA
Mark S. Ashworth
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CRD#: 2547355
MA
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.
Mark Shannon Ashworth was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1994. Mark had worked at 10 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
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®
NoneExperience
Past
July 27, 2018 - May 15, 2020
UNITED ADVISORS AMERICA
RIA
CRD#: 147350
Oklahoma City, OK
Past
January 16, 2013 - July 16, 2019
UNITED TAX AND ESTATE PLANNING
RIA
CRD#: 165304
OKLAHOMA CITY, OK
Past
November 28, 2011 - December 31, 2012
AMERICAN INVESTMENT SERVICES
RIA
CRD#: 144088
OKLAHOMA CITY, OK
Past
January 7, 2010 - August 26, 2011
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
OKLAHOMA CITY, OK
Past
January 7, 2010 - August 26, 2011
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
OKLAHOMA CITY, OK
Past
November 20, 2007 - December 31, 2009
SYNERGY INVESTMENT GROUP, LLC
BD
CRD#: 46035
OKLAHOMA CITY, OK
Past
March 18, 2005 - February 6, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
OKLAHOMA CTY, OK
Past
March 16, 2005 - February 6, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
April 3, 2003 - September 29, 2003
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
March 26, 2003 - September 29, 2003
WADDELL & REED
RIA
CRD#: 866
EDMOND, OK
Past
July 28, 2000 - August 3, 2000
BOK FINANCIAL SECURITIES, INC.
BD
CRD#: 17530
TULSA, OK
Past
June 5, 2000 - January 15, 2002
IBC INVESTMENTS
BD
CRD#: 40286
OKLAHOMA CITY, OK
Past
November 14, 1995 - May 31, 2000
BOK FINANCIAL SECURITIES, INC.
BD
CRD#: 17530
TULSA, OK
Past
November 21, 1994 - September 25, 1995
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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".
UA
UNITED ADVISORS AMERICA
UNITED ADVISORS AMERICA | UNITED ADVISORS CORPORATION | UNITED ADVISORS AMERICA CORPORATION
CRD#: 147350 / SEC#: 801-114134
RIA
Registered Investment Advisory firm - (10/12/2018 Approved)Arizona
Registered Investment Advisory firm - (12/31/2010 Terminated)Arkansas
Registered Investment Advisory firm - (10/29/2018 Terminated)Florida
Registered Investment Advisory firm - (8/23/2015 Terminated)Georgia
Registered Investment Advisory firm - (10/29/2018 Terminated)Illinois
Registered Investment Advisory firm - (10/17/2018 Terminated)Indiana
Registered Investment Advisory firm - (6/20/2011 Terminated)Iowa
Registered Investment Advisory firm - (11/1/2018 Terminated)Kansas
Registered Investment Advisory firm - (10/29/2018 Terminated)Kentucky
Registered Investment Advisory firm - (10/29/2018 Terminated)Michigan
Registered Investment Advisory firm - (10/30/2018 Terminated)Missouri
Registered Investment Advisory firm - (10/29/2018 Terminated)North Carolina
Registered Investment Advisory firm - (10/30/2018 Terminated)Ohio
Registered Investment Advisory firm - (10/30/2018 Terminated)Oklahoma
Registered Investment Advisory firm - (10/29/2018 Terminated)Oregon
Registered Investment Advisory firm - (2/27/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/30/2018 Terminated)Tennessee
Registered Investment Advisory firm - (11/1/2018 Terminated)Texas
Registered Investment Advisory firm - (10/29/2018 Terminated)Virginia
Registered Investment Advisory firm - (10/30/2018 Terminated)Washington
Registered Investment Advisory firm - (1/28/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (10/29/2018 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
General Industry/Product Exam
Current Firm
UA
UNITED ADVISORS AMERICA
UNITED ADVISORS AMERICA | UNITED ADVISORS CORPORATION | UNITED ADVISORS AMERICA CORPORATION
CRD#: 147350 / SEC#: 801-114134
RIA
Registered Investment Advisory firm - (10/12/2018 Approved)Arizona
Registered Investment Advisory firm - (12/31/2010 Terminated)Arkansas
Registered Investment Advisory firm - (10/29/2018 Terminated)Florida
Registered Investment Advisory firm - (8/23/2015 Terminated)Georgia
Registered Investment Advisory firm - (10/29/2018 Terminated)Illinois
Registered Investment Advisory firm - (10/17/2018 Terminated)Indiana
Registered Investment Advisory firm - (6/20/2011 Terminated)Iowa
Registered Investment Advisory firm - (11/1/2018 Terminated)Kansas
Registered Investment Advisory firm - (10/29/2018 Terminated)Kentucky
Registered Investment Advisory firm - (10/29/2018 Terminated)Michigan
Registered Investment Advisory firm - (10/30/2018 Terminated)Missouri
Registered Investment Advisory firm - (10/29/2018 Terminated)North Carolina
Registered Investment Advisory firm - (10/30/2018 Terminated)Ohio
Registered Investment Advisory firm - (10/30/2018 Terminated)Oklahoma
Registered Investment Advisory firm - (10/29/2018 Terminated)Oregon
Registered Investment Advisory firm - (2/27/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/30/2018 Terminated)Tennessee
Registered Investment Advisory firm - (11/1/2018 Terminated)Texas
Registered Investment Advisory firm - (10/29/2018 Terminated)Virginia
Registered Investment Advisory firm - (10/30/2018 Terminated)Washington
Registered Investment Advisory firm - (1/28/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (10/29/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
290 S Preston Road Suite 220, Prosper, TX 75078
Mailing Address
Phone number
(877) 443-0610
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (27 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,625 |
| AUM (Assets Under Management) | $ 353,695,420 |
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.
