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JA

Julie A. Ash

CAPACUITY SECURITIES
Lake Mary, FL 32746
Some features on this profile are disabled
CRD#: 4419274
JA

Professional summary

Julie Ann Ash is a registered financial professional currently at CAPACUITY SECURITIES, INC. located in Lake Mary, Florida.

Julie is registered as a RR (Registered Representative) and started their career in finance in 2006. Julie has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Julie Ann Ash'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®
None

Experience

Current

November 22, 2019 - Present

CAPACUITY SECURITIES, INC.

Office #1: 300 International Pkwy, #350, Lake Mary, FL 32746
BD
CRD#: 15384
Lake Mary, FL
Past

May 21, 2014 - September 3, 2019

FAS CORP.

BD
CRD#: 43536
LEAWOOD, KS
Past

February 14, 2006 - July 1, 2013

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
EL SEGUNDO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(11/22/2019)
RR
Massachusetts
(11/22/2019)
RR
New York
(11/22/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 2/24/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/13/2006
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CAPACUITY SECURITIES, INC.
CAPACUITY SECURITIES, INC. | JOHNSON SECURITIES, INC.

CRD#: 15384 / SEC#: , 8-32508

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
300 International Pkwy, #350, Lake Mary, FL 32746
Mailing Address
300 International Pkwy, #350, Lake Mary, FL 32746
Phone number
(407) 949-6889
Established
Pennsylvania since 05/14/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAPACUITY FINANCIAL, INC.OWNER
HOPKINS, THOMAS JOHNFINOP, POO, PFO1835087
KIRK, BRYANT WILLISPRESIDENT, CHIEF COMPLIANCE OFFICER, SECRETARY1049653

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

CAPACUITY SECURITIES, INC.

CRD#: 15384Lake Mary, FL 32746

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