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AL

Ashley M. Liggins

ALLY INVEST ADVISORS
Fort Worth, TX
Some features on this profile are disabled
CRD#: 5657360
AL

Professional summary

Ashley Marie Liggins, who also goes by Ashley Liggins, is a registered financial advisor currently at ALLY INVEST ADVISORS located in Fort Worth, Texas and ALLY INVEST SECURITIES LLC located in Lewisville, Texas.

Ashley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Ashley has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ashley Liggins

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.
Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Manager - Product Management. Dually licensed. 07/2022. 40+ hrs/month. Managing the Wealth product advisor services and operations functions. Work with Ally Invest Securities and Advisors business partners to ensure the success of Wealth through it's Advisory people channel.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashley Marie Liggins's CRS (Customer Relationship Summary).
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

September 19, 2022 - Present

ALLY INVEST ADVISORS

RIA
CRD#: 170301
Fort Worth, TX
Current

September 20, 2022 - Present

ALLY INVEST SECURITIES LLC

Office #1: 2911 Lake Vista Drive, Lewisville, TX 75067
BD
CRD#: 136131
Lewisville, TX
Past

June 5, 2017 - January 4, 2019

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Fort Worth, TX
Past

June 5, 2017 - June 22, 2021

TD AMERITRADE, INC.

RIA
CRD#: 7870
Southlake, TX
Past

June 1, 2017 - June 22, 2021

TD AMERITRADE, INC.

BD
CRD#: 7870
Southlake, TX
Past

June 30, 2014 - December 1, 2015

TD AMERITRADE, INC.

RIA
CRD#: 7870
FORT WORTH, TX
Past

June 30, 2014 - December 1, 2015

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
FORT WORTH, TX
Past

June 4, 2013 - December 1, 2015

TD AMERITRADE, INC.

BD
CRD#: 7870
FORT WORTH, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AI
ALLY INVEST ADVISORS
ALLY INVEST ADVISORS | TRADEKING ADVISORS, INC. | ONE MARKET ADVISORS, LLC | ONE MARKET ADVISORS, INC. | ONE MARKET ADVISORS | ALLY INVEST ADVISORS INC

CRD#: 170301 / SEC#: 801-79305

RIA
Registered Investment Advisory firm - (3/27/2014 Approved)

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.
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

IAR
Texas
(9/19/2022)
RR
Texas
(9/21/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/27/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/10/2013
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 7
Date: 6/3/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/19/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ALLY INVEST ADVISORS
ALLY INVEST ADVISORS | TRADEKING ADVISORS, INC. | ONE MARKET ADVISORS, LLC | ONE MARKET ADVISORS, INC. | ONE MARKET ADVISORS | ALLY INVEST ADVISORS INC

CRD#: 170301 / SEC#: 801-79305

RIA
Registered Investment Advisory firm - (3/27/2014 Approved)
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Contact information

Main Address
601 S. Tryon Street Suite 100, Charlotte, NC 28202
Mailing Address
Phone number
(855) 880-2559
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ALLY INVEST ADVISORS FORM ADV PART 2A (8/4/2025)
ALLY INVEST ADVISORS FORM ADV PART 2A (8/4/2025)

Regulatory assets under management

Total Number of Accounts76,058
AUM (Assets Under Management)$ 1,389,572,606

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

ALLY INVEST ADVISORS

CRD#: 170301Fort Worth, TX

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