Adwowa F. Afenyi-annan

3A FINANCIAL GROUP

Huntersville, NC

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CRD#: 4592855

Professional summary

Adwowa F Afenyi-annan, CFP® is a registered financial advisor currently at 3A FINANCIAL GROUP, LLC located in Huntersville, North Carolina and ALIGHT FINANCIAL SOLUTIONS, LLC located in Charlotte, North Carolina.

Adwowa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Adwowa has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1)INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 3)3A FINANCIAL GROUP LLC (NON-INVESTMENT RELATED), 1001 E. WT HARRIS BLVD, SUITE P158; CHARLOTTE, NC 28213; CPA; START DATE; 9/16/09; 4 HR/MO, 1 HR DURING SECURITIES TRADING HRS; PROVIDE TAX SERVICES TO CLIENTS WHEN NEEDED. 4)AON HEWITT, 7201 HEWITT ASSOCIATES DR., CHARLOTTE, NC 28262. BEGAN 12/6/2010 AS A CLIENT SERVICES TEAM MANAGER THAT IS A SALARIED POSITION STARTING AN INVESTMENT ADVISORY AND FINANCIAL PLANNING PRACTICE. INVESTMENT RELATED. DEVOTES 40HR/WK, 5DAYS/WK DURING TRADE. 5) 3A FINANCIAL GROUP LLC (INVESTMENT RELATED) RIA FIRM; 1001 E. WT HARRIS BLVD, SUITE P158; CHARLOTTE, NC 28213; PRINCIPAL; START DATE 1/2011; 20HR/WEEK, 1 HOUR/DAY DURING SECURITY TRADING HOURS. PROVIDE INVESTMENT ADVICE AND FINANCIAL PLANNING TO CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adwowa F Afenyi-annan'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®

CFP^®

Certified Financial Planner

Experience

Current

April 20, 2011 - Present

3A FINANCIAL GROUP, LLC

RIA

CRD#: 156512

Huntersville, NC

Current

May 3, 2011 - Present

ALIGHT FINANCIAL SOLUTIONS, LLC

Office #1: 9335 Harris Corners Parkway Ste 150, Charlotte, NC 28269

CRD#: 36509

CHARLOTTE, NC

Past

November 14, 2011 - May 3, 2013

ALIGHT FINANCIAL ADVISORS, LLC

RIA

CRD#: 158744

CHARLOTTE, NC

Past

May 3, 2011 - May 24, 2011

ALIGHT FINANCIAL SOLUTIONS, LLC

RIA

CRD#: 36509

LINCOLNSHIRE, IL

Past

April 15, 2010 - April 25, 2011

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

SOUTHFIELD, MI

Past

September 16, 2009 - May 13, 2011

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

SOUTHFIELD, MI

Past

January 1, 2008 - September 17, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NORTHVILLE, MI

Past

November 28, 2002 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

NORTHVILLE, MI

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.

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

IAR

Louisiana
(12/20/2021)

IAR

Michigan
(4/20/2011)

IAR

North Carolina
(4/25/2011)

North Carolina
(5/3/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/6/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/27/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/13/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/14/2006

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

3A FINANCIAL GROUP, LLC

3A FINANCIAL GROUP LLC | 3A FINANCIAL GROUP, LLC

CRD#: 156512 / SEC#:

Louisiana

Registered Investment Advisory firm - (12/20/2021 Approved)

Michigan

Registered Investment Advisory firm - (4/20/2011 Approved)

North Carolina

Registered Investment Advisory firm - (3/23/2011 Approved)

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Contact information

Main Address

Huntersville, NC

Mailing Address

8511 Davis Lake Parkway Suite C6-251, Charlotte, NC 28269

Phone number

(248) 763-5413

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 17,144,903

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Adwowa F. Afenyi-annan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adwowa F Afenyi-annan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALIGHT FINANCIAL SOLUTIONS, LLC

ALIGHT FINANCIAL ADVISORS, LLC

ALIGHT FINANCIAL SOLUTIONS, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/6/2002

SIE

Date: 10/1/2018

Series 7

Date: 11/27/2002

Series 10

Date: 2/13/2006

Series 9

Date: 1/14/2006

FINRA

Current Firm

3A FINANCIAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

3A FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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