Brian Carlton Lighty

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-11-11
IL	RA	APPROVED	2020-11-02

Branch Locations

3455 Peachtree Rd Ne Workplace Benefits, Atlanta, GA 30326 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Lincoln Financial Distributors	Radnor	PA	11/2013	11/2017
Icma-Rc	Washington	DC	11/2017	05/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chicago	IL	05/2020	Present

11/2013 → 11/2017

Lincoln Financial Distributors

Radnor, PA
11/2017 → 05/2020

Icma-Rc

Washington, DC
05/2020 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-10-30
S63	Uniform Securities Agent State Law Examination	1997-05-02

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