Julie A. Davis
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.
Julie Anne Davis, who also goes by Julie A Davis, was a registered financial professional .
Julie is a previously registered financial professional and started their career in finance in 2008. Julie had worked at 6 firms and has passed the Series 66, SIE 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 18, 2018 - March 23, 2020
PERSONAL CAPITAL ADVISORS CORPORATION
March 14, 2017 - December 18, 2017
MORLING FINANCIAL ADVISORS, LLC
March 27, 2013 - March 6, 2017
STRATEGIC ADVISERS LLC
March 6, 2013 - February 27, 2017
FIDELITY BROKERAGE SERVICES LLC
October 19, 2011 - February 27, 2013
MORGAN STANLEY
October 19, 2011 - February 27, 2013
MORGAN STANLEY
May 14, 2008 - September 15, 2011
EQUITABLE ADVISORS, LLC
March 24, 2008 - September 15, 2011
EQUITABLE ADVISORS, LLC
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
PERSONAL CAPITAL ADVISORS CORPORATION
CRD#: 155172 / SEC#: 801-72613
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 104,861 |
| AUM (Assets Under Management) | $ 23,087,723,467 |
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.
