Bret A. Farris
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.
Bret Alan Farris, CFP®, CIMA®, CPWA®, who also goes by Bret Farris, was a registered financial professional .
Bret is a previously registered financial professional and started their career in finance in 2010. Bret had worked at 5 firms and has passed the Series 63, 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
Start date: 2011
Start date: 2017-09-18
Expire date: 2023-01-31
Experience
December 16, 2020 - May 23, 2022
DEW WEALTH MANAGEMENT
November 27, 2019 - January 17, 2020
FORVIS MAZARS WEALTH ADVISORS, LLC
March 11, 2016 - August 13, 2019
CIBC WORLD MARKETS CORP.
August 8, 2011 - July 22, 2014
CURI CAPITAL, LLC
December 20, 2010 - August 23, 2012
KESTRA INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
DEW WEALTH MANAGEMENT
CRD#: 114148 / SEC#: 801-108014
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
DEW WEALTH MANAGEMENT
CRD#: 114148 / SEC#: 801-108014
Contact information
SEC notice filing (25 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 664 |
| AUM (Assets Under Management) | $ 361,883,561 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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