WITT FINANCIAL GROUP, LLC of CROSSVILLE, TN is an SEC-registered investment adviser (CRD 156462). Regulatory assets under management: $160.5M.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Hobert Marcus Witt | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | — |
| Jordan Marcus Witt | ASSOCIATE MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-02-01 | regulatory | IN JAN. AND FEB. OF 2018 WITT FINANCIAL GROUP FAILED TO MAINTAIN THE REQUIRED $15,000 NET CAPITAL FOR RIA FIRMS IN TN. IN 2019 TN FOUND THAT 2 CLIENTS WHO WERE PROVIDED INVESTMENT ADVISORY SERVICES DID NOT HAVE EXECUTED CLIENT AGREEMENTS WITH WITT FINANCIAL GROUP. | Final | $1K |