QFC ADVISORY LLC of MARYVILLE, TN is an SEC-registered investment adviser (CRD 118886). Regulatory assets under management: $128.8M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| James Douglas Horn | MEMBER; PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2003-05-30 | regulatory | BEING A TEXAS REGISTERED ADVISOR, THE FIRM MOVED TO TN IN AUGUST 01. WHILE ALL INSURANCE, & SECURITY LICENSES WERE UPDATED, REGISTERING WITH TN DID NOT OCCUR AT THE TIME OF THE MOVE. ADVICE WAS PROVIDED TO EXISTING TX CLIENTS, 2 TN CLIENTS ONE OF WHICH WAS A RELATIVE, WHILE NEW FACILITIES WERE RENOV… | Final | $6K |