PROMONTORY FINANCIAL PLANNING, LLC of FARMINGTON, UT is an SEC-registered investment adviser (CRD 153666). Regulatory assets under management: $319.0M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Tyra Williamson | OWNER/ADVISOR | — |
| Brock Don Williamson | PRESIDENT/OWNER/CCO | — |
| WILLIAMSON TYRA | OWNER/ADVISOR | — |
| WILLIAMSON BROCK DON | PRESIDENT/OWNER/CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2011-08-04 | regulatory | THE DIVISION ALLEGED THAT BOWEN ACTED AS AN UNLICENSED INVESTMENT ADVISER REPRESENTATIVE IN VIOLATION OF SECTION 61-1-3(3)(A) OF THE UTAH UNIFORM SECURITIES ACT | Final | $10K |