Ashlee V. Deal

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CRD#: 6616912

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

Are you a "fiduciary"?

Aliases

Ashlee Victoria Henson

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.

Serve as trustee of family and revocable trusts (Carl P Henson Jr & Elizabeth Henson Revocable Trust, Family Trust U/A Carl P Henson Jr & Elizabeth Henson Revocable Trust) for paternal grandparents since September 2017. Duties include income and cash management, record maintenance, oversight of care and finances for grandmother with [REDACTED], filing taxes and quarterly estimates, investment decisions, reporting to SSA as representative payee, etc. Devote on average 7-10 hours per month to trustee duties outside of securities trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Past

April 12, 2022 - September 19, 2022

CAP PARTNERS, LLC

RIA

CRD#: 144779

FRANKLIN, TN

Past

January 12, 2021 - April 7, 2022

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

Columbia, TN

Past

November 16, 2020 - April 7, 2022

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Columbia, TN

Past

September 12, 2018 - October 15, 2019

HAWSGOODWIN WEALTH

RIA

CRD#: 165771

FRANKLIN, TN

Past

April 25, 2016 - June 7, 2018

KRAFT ASSET MANAGEMENT, LLC

RIA

CRD#: 119139

Nashville, TN

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".

CAP PARTNERS, LLC

CRD#: 144779 / SEC#: 801-121600

RIA

Registered Investment Advisory firm - (6/25/2021 Approved)

Tennessee

Registered Investment Advisory firm - (7/23/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/14/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/16/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/18/2016

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/15/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/28/2020

Securities Industry Essentials Examination

Current Firm

CAP PARTNERS, LLC

CRD#: 144779 / SEC#: 801-121600

RIA

Registered Investment Advisory firm - (6/25/2021 Approved)

Tennessee

Registered Investment Advisory firm - (7/23/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/14/2021 Terminated)

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Contact information

Main Address

109 International Drive Suite 210, Franklin, TN 37067

Mailing Address

Phone number

(615) 807-2030

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (3/30/2025)

Regulatory assets under management

Total Number of Accounts	1,281
AUM (Assets Under Management)	$ 220,229,192

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.

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Firm Stability Insights

Ashlee V. Deal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

HAWSGOODWIN WEALTH

KRAFT ASSET MANAGEMENT, LLC

Primary Firm SEC Registration

CAP PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/16/2020

Series 65

Date: 4/18/2016

Series 7TO

Date: 11/15/2020

SIE

Date: 9/28/2020

Current Firm

CAP PARTNERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAP PARTNERS, LLC

TRUST BUT VERIFY

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