DAVIS WEALTH ADVISORS LLC of SALEM, NH is an SEC-registered investment adviser (CRD 287736). Regulatory assets under management: $197.1M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Melinda Kay Davis | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | — |
| DAVIS RHONDA KAY | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-09-10 | regulatory | DURING THE TIME PERIOD OF MARCH 5, 2020 TO AUGUST 14, 2021, DAVIS WEALTH ADVISORS RECEIVED INVESTMENT ADVISORY FEES FROM MASSACHUSETTS CLIENTS WITHOUT BEING REGISTERED IN MASSACHUSETTS AS AN INVESTMENT ADVISER. THE CONDUCT OF DAVIS WEALTH ADVISORS CONSTITUTES VIOLATIONS OF MASS. GEN. LAWS CH. 110A,… | Final | $25K |