Justin D. Southern
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.
Justin Duane Southern, who also goes by Justin Southern, was a registered financial professional .
Justin is a previously registered financial professional and started their career in finance in 2017. Justin had worked at 2 firms and has passed the Series 66, Series 7TO, 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
Experience
November 23, 2020 - March 23, 2021
IRONWOOD WEALTH MANAGEMENT, INC.
June 1, 2017 - November 5, 2020
WELLS FARGO CLEARING SERVICES, LLC
May 6, 2017 - November 5, 2020
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
IRONWOOD WEALTH MANAGEMENT, INC.
CRD#: 128699 / SEC#: 801-62555
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: 1/8/2024
General Securities Representative ExaminationCurrent Firm
IRONWOOD WEALTH MANAGEMENT, INC.
CRD#: 128699 / SEC#: 801-62555
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 696 |
| AUM (Assets Under Management) | $ 212,837,072 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
