MA
Mark B. Ashford
WMG FINANCIAL ADVISORS
Morristown, TN 37814
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CRD#: 2994722
MA
Professional summary
Mark B Ashford, who also goes by Mark Barron Ashford, is a registered financial advisor currently at WMG FINANCIAL ADVISORS, LLC located in Morristown, Tennessee.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Mark has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Barron Ashford
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.
(dba) WMG FINANCIAL ADVISORS; Investment Related; 923 West 1st North Street, Morristown, TN 37814; Investment Advisory; Agent; Start Date 09/2017; 40 hours per month with those 40 hours per month occurring during trading hours; Advisory services are offered. >> (dba) LEGACY WEALTH MANAGEMENT; Investment Related; 923 West 1st North Street, Morristown, TN 37814; Insurance; Agent/Owner; Start Date 12/2017; 40 hours per month with those 40hours per month occurring during trading hours; Offer insurance related products and financial planning advice to clients. >> THE ASHFORD GROUP; Investment Related; 923 West 1st North Street, Morristown, TN 37814; Insurance; Agent/Owner; 40 hours per month with those 40 hours per month occurring during trading hours; Offer Accident/Health, Disability, Annuity (Fixed and Indexed), Long-Term Care, Commission-Based Group Benefits and Traditional Life insurance products. >> POA; Investment Related; 923 West 1st North Street, Morristown, TN 37814; POA; Successor POA; Start Date 06/2017; No hours per month; Successor Power of Attorney for William and Nellence Marsh - Durable POA. Marsh, Nellene Healthcare POA; 2215 Essex Lane Morristown TN 37814; Manage health for relative Nellene Marsh; 2024-11-25; 1 Hour per month devoted to business during trading hours; 1 Hour per month devoted to business outside trading hours. Marsh, William Healthcare POA; 2215 Essex Lane Morristown TN 37814; Manage health for relative; 2024-11-25; 1 Hour per month devoted to business during trading hours; 1 Hour per month devoted to business outside trading hours. Marsh, Nellene - Financial Power of Attorney; Investment related; 2215 Essex Lane Morristown TN 37814; Manage financial affairs for relative; 2024-11-21; 2 Hours per month devoted to business during trading hours; 2 Hours per month devoted to business outside trading hours. Marsh, William - Financial Power of Attorney; Investment related; 2215 Essex Lane Morristown TN 37814; Financial Power of Attorney (POA) for relative William Marsh.; Manage financial affairs for relative; 2024-11-21; 2 Hours per month devoted to business during trading hours; 2 Hours per month devoted to business outside trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Mark B Ashford's CRS (Customer Relationship Summary).
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
Current
August 15, 2017 - Present
WMG FINANCIAL ADVISORS, LLC
Office #1: 923 West 1st North Street, Morristown, TN 37814RIA
CRD#: 285824
Morristown, TN
Past
December 8, 2017 - December 31, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
MORRISTOWN, TN
Past
May 25, 2004 - July 29, 2014
INDEPENDENT ADVISERS GROUP CORP
RIA
CRD#: 106684
MORRISTOWN, TN
Past
January 28, 2004 - December 17, 2017
OSAIC FS, INC.
RIA
CRD#: 3870
MORRISTOWN, TN
Past
February 26, 2003 - December 17, 2017
OSAIC FS, INC.
BD
CRD#: 3870
MORRISTOWN, TN
Past
February 11, 1998 - March 3, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
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".
WF
WMG FINANCIAL ADVISORS, LLC
DAVIS WEALTH PARTNERS | WMG FINANCIAL ADVISORS, LLC | LEGACY WEALTH MANAGEMENT | KAIZEN RETIREMENT PLAN CONSULTANTS, LLC
CRD#: 285824 / SEC#: 801-116718
RIA
Registered Investment Advisory firm - (6/4/2019 Approved)Florida
Registered Investment Advisory firm - (8/16/2019 Terminated)Georgia
Registered Investment Advisory firm - (8/23/2019 Terminated)Louisiana
Registered Investment Advisory firm - (8/19/2019 Terminated)Mississippi
Registered Investment Advisory firm - (8/16/2019 Terminated)Tennessee
Registered Investment Advisory firm - (8/19/2019 Terminated)Texas
Registered Investment Advisory firm - (8/16/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Tennessee(8/15/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WF
WMG FINANCIAL ADVISORS, LLC
DAVIS WEALTH PARTNERS | WMG FINANCIAL ADVISORS, LLC | LEGACY WEALTH MANAGEMENT | KAIZEN RETIREMENT PLAN CONSULTANTS, LLC
CRD#: 285824 / SEC#: 801-116718
RIA
Registered Investment Advisory firm - (6/4/2019 Approved)Florida
Registered Investment Advisory firm - (8/16/2019 Terminated)Georgia
Registered Investment Advisory firm - (8/23/2019 Terminated)Louisiana
Registered Investment Advisory firm - (8/19/2019 Terminated)Mississippi
Registered Investment Advisory firm - (8/16/2019 Terminated)Tennessee
Registered Investment Advisory firm - (8/19/2019 Terminated)Texas
Registered Investment Advisory firm - (8/16/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
620 Mabry Hood Road Suite 101, Knoxville, TN 37932
Mailing Address
Phone number
(865) 290-4000
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,940 |
| AUM (Assets Under Management) | $ 614,890,081 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
