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Verity Asset Management CRD 158667
$1.15B regulatory AUM 5 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
280 S Mangum St Ste 550, Durham, NC 27701-3676 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-10-19 |
| NC | RA | APPROVED | 2020-07-07 |
Branch Locations
280 S Mangum St Ste 550, Durham, NC 27701-3676 • United States
Raleigh, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Raleigh | NC | 08/2013 | 11/2016 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2016 |
| Bb&T Securities | Raleigh | NC | 12/2016 | 06/2020 |
| Verity Asset Management | Durham | NC | 07/2020 | Present |
| Verity Investments, Inc. | Durham | NC | 07/2020 | 11/2025 |
| Appreciation Financial | Henderson | NV | 06/2020 | 04/2022 |
| The Leaders Group Dba Simplicity Investments | Summit | NJ | 11/2025 | Present |
1) Verity Asset Management, Inc.; Investment-related; Durham NC; Registered Investment Adviser; Contractor; Investment advisor representative; 07/2020; 160 hours per month; 160 during market hours; Investment advisory services. 2) Advisor Share, LLC.; Not investment-related; Raleigh, NC; Insurance agency; Contractor; Agent; 05/2022; 8 hours per month; 8 during market hours; Sell insurance and annuity products. 3) Blue Heron Landing, LLC.; Not investment-related; Raleigh, NC; Pass through entity; Officer; Managing member; 12/2019; 1 hour per month; 1 during market hours; Administrative duties.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-09-30 |
| S63 | Uniform Securities Agent State Law Examination | 2009-11-24 |
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