BNA WEALTH, INC. of ROCK HILL, SC is an SEC-registered investment adviser (CRD 39326). Regulatory assets under management: $619.8M.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pensions, Other.
| Name | Role | Location |
|---|---|---|
| Adam Eric Mr. Ackerman | PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| VITEZ LAWRENCE DAVID | PRESIDENT; PRESIDENT/CHIEF COMPLIANCE OFFICER; PRESIDENT/CHIEF FINANCIAL OFFICER | — |
| ACKERMAN ADAM ERIC MR | PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-02-06 | regulatory | AS A A BROKER-DEALER SIGNED A LETTER OF ACCEPTANCE, WAIVER AND CONSENT WITH FINRA. BNA WEALTH WAS CENSURED, FINED $45,000 AND REQUIRED TO CERTIFY THAT IT HAD REMEDIATED ISSUES IDENTIFIED IN THE AWC: CONDUCTED A MUNICIPAL SECURITIES BUSINESS WITHOUT BEING REGISTERED TO DO SO AND FAILED TO EMPLOY AT L… | Final | $45K |