MCGRATH & ASSOCIATES, INC. of ASHEVILLE, NC is an SEC-registered investment adviser (CRD 121197). Regulatory assets under management: $155.9M.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Susan Lee Mcgrath | PRESIDENT/ CHIEF COMPLIANCE OFFICER | — |
| Nicole A Johnson | SECRETARY | — |
| Robert Edward Baschnagel | FINANCIAL ADVISOR; FINANCIAL ADVISOR AND VICE PRESIDENT | — |
| JOHNSON NICHOLAS A | SECRETARY | — |
| MCGRATH SUSAN LEE | PRESIDENT/ CHIEF COMPLIANCE OFFICER; VICE-PRESIDENT; VICE-PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| HOLCOMBE HAROLD EUGENE | PRESIDENT | — |
| BASCHNAGEL ROBERT EDWARD | FINANCIAL ADVISOR | — |
| Nicole A. Johnson | SECRETARY | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-07-10 | regulatory | DURING A ROUTINE REGULATORY EXAMINATION, THE NORTH CAROLINA SECURITIES DIVISION DETERMINED THAT ONE OF THE FIRM'S REPRESENTATIVE'S, ALTHOUGH FULLY QUALIFIED, HAD NOT BEEN PROPERLY REGISTERED. ONE OF THE FORMS REQUIRED HAD BEEN COMPLETED AND SUBMITTED, BUT FAILED TO UPLOAD ONTO THEIR SYSTEM DURING TH… | Final | $3K |