WARNER WEALTH of MADISON, CT is an SEC-registered investment adviser (CRD 334877). Regulatory assets under management: $458.5M.
Compensation: % of AUM.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Lisa Marie Lafond | CHIEF COMPLIANCE OFFICER | — |
| Ashleigh Cooper Swayze | CHIEF COMPLIANCE OFFICER | — |
| James Alan Warner | OWNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-04-17 | regulatory | IN 2017, OUR CHIEF COMPLIANCE OFFICER, ASHLEIGH SWAYZE, SIGNED A CONSENT ORDER WITH THE CONNECTICUT DEPARTMENT OF BANKING AND INSURANCE. THE UNDERLYING MATTER INVOLVED A CLIENT OF MS. SWAYZE'S THAT FAILED TO REGISTER AS AN INVESTMENT ADVISER REPRESENTATIVE IN CONNECTICUT. THE STATE FELT THAT MS.SWAY… | Final | $10K |