Ashley K. Wunderlich
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.
Ashley Kohm Wunderlich, who also goes by Ashely Lauren Kohm, Ashley Lauren Kohm, Ashley Kohm Wunderlich, was a registered financial professional .
Ashley is a previously registered financial professional and started their career in finance in 2010. Ashley had worked at 2 firms and has passed the Series 66, SIE, Series 87 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
January 15, 2019 - September 2, 2020
MONETA GROUP INVESTMENT ADVISORS, LLC
February 25, 2013 - December 24, 2018
EDWARD JONES
February 25, 2013 - December 24, 2018
EDWARD JONES
January 26, 2011 - January 4, 2013
EDWARD JONES
December 2, 2010 - January 4, 2013
EDWARD JONES
Primary Firm SEC Registration
MONETA GROUP INVESTMENT ADVISORS, LLC
CRD#: 104727 / SEC#: 801-34723
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
MONETA GROUP INVESTMENT ADVISORS, LLC
CRD#: 104727 / SEC#: 801-34723
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 44,504 |
| AUM (Assets Under Management) | $ 42,795,577,115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/09/2024 | ||
| 11/20/2023 | ||
| 01/03/2023 |
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.
