John R. Turbeville
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.
John Ray Turbeville, who also goes by John R Turbeville, John Turbeville, Johnny R Turbeville, Johnny Ray Turbeville, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1977. John had worked at 9 firms and has passed the Series 65, Series 63, Series 15, Series 5, PC, Series 7, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2017 - December 31, 2024
ARIA WEALTH MANAGEMENT
February 5, 2010 - December 15, 2017
CONCERT WEALTH MANAGEMENT
August 5, 2005 - January 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 2005 - January 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 20, 2000 - August 18, 2005
UBS FINANCIAL SERVICES INC.
April 20, 2000 - August 18, 2005
UBS FINANCIAL SERVICES INC.
May 25, 1994 - May 15, 2000
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - May 25, 1994
CITIGROUP GLOBAL MARKETS INC.
March 17, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
March 9, 1981 - February 23, 1988
MORGAN STANLEY DW INC.
September 26, 1978 - April 24, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
ARIA WEALTH MANAGEMENT
CRD#: 288450 / SEC#: 801-110703
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 15
Date: 1/16/1985
Foreign Currency Options ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 8
Date: 8/9/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ARIA WEALTH MANAGEMENT
CRD#: 288450 / SEC#: 801-110703
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 616 |
| AUM (Assets Under Management) | $ 122,757,930 |
Red Flags
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