Buffy J. Marshall
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.
Buffy Jo Marshall, who also goes by Buffy J Marshall, was a registered financial professional .
Buffy is a previously registered financial professional and started their career in finance in 2002. Buffy had worked at 3 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2014 - March 12, 2020
JOHNSON & WHITE WEALTH MANAGEMENT LLC
November 7, 2002 - May 28, 2014
WELLS FARGO CLEARING SERVICES, LLC
November 7, 2002 - May 28, 2014
WELLS FARGO CLEARING SERVICES, LLC
May 22, 2002 - October 29, 2002
J.J.B. HILLIARD, W.L. LYONS, LLC
Primary Firm SEC Registration
JOHNSON & WHITE WEALTH MANAGEMENT LLC
CRD#: 169795 / SEC#: 801-79746
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
JOHNSON & WHITE WEALTH MANAGEMENT LLC
CRD#: 169795 / SEC#: 801-79746
Contact information
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,362 |
| AUM (Assets Under Management) | $ 411,928,943 |
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.
