Troy L. Harmon

DUE WEST WEALTH ADVISORS LLC

MARIETTA, GA

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CRD#: 6693859

Professional summary

Troy Lynn Harmon, CFA is a registered financial advisor currently at DUE WEST WEALTH ADVISORS LLC located in Marietta, Georgia.

Troy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Troy has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) Kennesaw State University; Not investment-related; Kennesaw, GA 30144; Public university; Adjunct professor; Work with students and teach courses; Approx. 10% of time during the month. 2) A&E Investment Properties, Inc.; Not investment-related; Marietta, GA 30066; Real-estate; Chief Executive Officer; Oversee business operations and collect rents from tenants; Less than 5% of time during the month. 3) ASFIP Foundation; Not investment-related; Financial education and community outreach; Treasurer; Administer and manage finances. Work with Chartered Financial Analysts to provide financial education to community; Less than 5% of time during the month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Troy Lynn Harmon's 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®

CFA

Chartered Financial Analyst

Experience

Current

October 16, 2024 - Present

DUE WEST WEALTH ADVISORS LLC

RIA

CRD#: 333294

MARIETTA, GA

Past

December 21, 2016 - May 24, 2019

ALPS DISTRIBUTORS, INC.

CRD#: 16853

KENNESAW, GA

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.

Highlighted states indicate IAR registrations

IAR

Georgia
(10/16/2024)

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

IAR

Series 66

Date: 1/21/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/2016

General Securities Representative Examination

Current Firm

DUE WEST WEALTH ADVISORS LLC

CRD#: 333294 / SEC#:

Georgia

Registered Investment Advisory firm - (10/16/2024 Approved)

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Contact information

Main Address

Marietta, GA

Mailing Address

3350 Riverwood Pkwy #1900, Atlanta, GA 30339

Phone number

(470) 416-1617

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 298,960

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Troy L. Harmon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Troy Lynn Harmon's CRS (Customer Relationship Summary).

Certified licenses

Experience

DUE WEST WEALTH ADVISORS LLC

ALPS DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/21/2017

SIE

Date: 10/1/2018

Series 7

Date: 12/21/2016

Current Firm

DUE WEST WEALTH ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DUE WEST WEALTH ADVISORS LLC

TRUST BUT VERIFY

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