ACCESS FINANCIAL RESOURCES INC. of OKLAHOMA CITY, OK is an SEC-registered investment adviser (CRD 109495). Regulatory assets under management: $410.6M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Troy Emery Jones | SECRETARY OF TREASURY; TRUSTEE | — |
| Robert Lee Woody | PRESIDENT; TRUSTEE | — |
| Jeffrey Allan Ashford | CHIEF INVESTMENT OFFICER; TRUSTEE | — |
| William Paul Atkinson | TRUSTEE; VICE PRESIDENT | — |
| Kelsey Nicole Cagle | CHIEF COMPLIANCE OFFICER | — |
| JONES TROY EMERY | CEO; CEO & CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER (+3 more) | — |
| ATKINSON WILLIAM PAUL | CHIEF COMPLIANCE OFFICER; PRESIDENT / CHIEF COMPLIANCE OFFICER; TRUSTEE (+1 more) | — |
| WOODY ROBERT LEE | PRESIDENT; TRUSTEE | — |
| ASHFORD JEFFREY ALLAN | CHIEF COMPLIANCE OFFICER; TRUSTEE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-01-17 | regulatory | WHILE LEWIS (FORMERLY DUTOIT) WAS ASSOCIATED WITH EDWARD JONES, SHE HAD CUSTOMERS SIGN A BLANK FORM TO FACILITATE THE TRANSFER OF MULTIPLE ACCOUNTS TO EDWARD JONES RATHER THAN HAVE THE CUSTOMERS SIGN TRANSFER REQUEST FORMS FOR EACH OF THE ACCOUNTS TRANSFERRED. LEWIS (FORMERLY DUTOIT) WAS PERMITTED T… | Final | $5K |
| 2015-10-05 | regulatory | RESPONDENT, BETH LEWIS (FORMERLY DUTOIT) COPIED A CLIENT'S SIGNATURE ONTO A FORM WITHOUT CLIENT'S KNOWLEDGE. THERE WERE NO ALLEGATIONS OF CONVERSION OR MISAPPROPRIATION OF CLIENT FUNDS. | Final | — |