Ashlee V. Deal
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.
Ashlee Victoria Deal, CFP®, who also goes by Ashlee VIctoria Henson, was a registered financial professional .
Ashlee is a previously registered financial professional and started their career in finance in 2016. Ashlee had worked at 4 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2017
Experience
April 12, 2022 - September 19, 2022
CAP PARTNERS, LLC
January 12, 2021 - April 7, 2022
PRINCIPAL SECURITIES, INC.
November 16, 2020 - April 7, 2022
PRINCIPAL SECURITIES, INC.
September 12, 2018 - October 15, 2019
HAWSGOODWIN WEALTH
April 25, 2016 - June 7, 2018
KRAFT ASSET MANAGEMENT, LLC
Primary Firm SEC Registration
CAP PARTNERS, LLC
CRD#: 144779 / SEC#: 801-121600
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
Series 7TO
Date: 11/15/2020
General Securities Representative ExaminationCurrent Firm
CAP PARTNERS, LLC
CRD#: 144779 / SEC#: 801-121600
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,406 |
| AUM (Assets Under Management) | $ 254,660,251 |
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.
