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LB

Luann Becker

Some features on this profile are disabled
CRD#: 2913607
LB

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.

Luann Becker, who also goes by Luann Mcconnaha, was a registered financial professional .

Luann is a previously registered financial professional and started their career in finance in 1997. Luann had worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Luann Mcconnaha

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.

Blog Corner

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®
None

Experience

Past

May 20, 2024 - December 31, 2025

365 WEALTH MANAGEMENT GROUP

RIA
CRD#: 314674
MASON, OH
Past

May 21, 2021 - December 31, 2023

365 WEALTH MANAGEMENT GROUP

RIA
CRD#: 314674
MASON, OH
Past

July 16, 2019 - June 15, 2021

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
CINCINNATI, OH
Past

May 1, 2019 - June 15, 2021

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
CINCINNATI, OH
Past

June 23, 2010 - October 19, 2018

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CINCINNATI, OH
Past

June 22, 2010 - October 19, 2018

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CINCINNATI, OH
Past

April 2, 2007 - July 14, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
EDGEWOOD, KY
Past

April 2, 2007 - July 14, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
EDGEWOOD, KY
Past

May 17, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
EDGEWOOD, KY
Past

May 16, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
EDGEWOOD, KY
Past

February 26, 2004 - May 5, 2006

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
CINCINNATI, OH
Past

February 23, 2004 - May 5, 2006

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
CINCINNATI, OH
Past

February 4, 2003 - March 1, 2004

J.J.B. HILLIARD, W.L. LYONS, LLC

BD
CRD#: 453
LOUISVILLE, KY
Past

July 29, 1997 - October 28, 2002

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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".
3W
365 WEALTH MANAGEMENT GROUP
365 WEALTH MANAGEMENT GROUP | AXECAP INVESTMENTS, LLC

CRD#: 314674 / SEC#: 801-126521

RIA
Registered Investment Advisory firm - (9/7/2022 Approved)
Ohio
Registered Investment Advisory firm - (12/31/2023 Failure to Renew)

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
RR
Series 63
Date: 8/11/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/1/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/28/1997
General Securities Representative Examination

Current Firm

3W
365 WEALTH MANAGEMENT GROUP
365 WEALTH MANAGEMENT GROUP | AXECAP INVESTMENTS, LLC

CRD#: 314674 / SEC#: 801-126521

RIA
Registered Investment Advisory firm - (9/7/2022 Approved)
Ohio
Registered Investment Advisory firm - (12/31/2023 Failure to Renew)
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Contact information

Main Address
5770 Gateway Blvd Suite 102, Mason, OH 45040
Mailing Address
Phone number
(513) 880-0002
Established
Firm type
Fiscal year end
# of Employees
8

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

365 WMG ADV 2A 2025 (4/28/2025)

Regulatory assets under management

Total Number of Accounts1,046
AUM (Assets Under Management)$ 183,182,460

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.

Company Information

365 WEALTH MANAGEMENT GROUP

CRD#: 314674

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