Best Investors Account Sign in
Inactive

Frank E Lumpuy

Sb Advisory, LLC

Atlanta, GA

Miami, FL

Claim This Profile
Current Employers
Sb Advisory, Llc

3424 Peachtree Road Ne Suite 2200, Atlanta, GA 30326-1184 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-06-03
  • FL RA
    APPROVED
    Since 2024-06-03

Branch Locations

3424 Peachtree Road Ne Suite 2200, Atlanta, GA 30326-1184 • United States

Miami, FL • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Kovack Securities, Inc. Fort Lauderdale FL 06/2006 02/2024
Kovack Advisors, Inc. Ft. Lauderdale FL 05/2012 02/2024
Sb Advisory Atlanta FL 03/2024 Present
  • 06/2006 → 02/2024
    Kovack Securities, Inc.
    Fort Lauderdale, FL
  • 05/2012 → 02/2024
    Ft. Lauderdale, FL
  • 03/2024 → Present
    Sb Advisory
    Atlanta, FL
Previous Registrations
Other Businesses

1) FIXED INSURANCE - AGENT/SALES FOR FIXED INSURANCE TERM, PERMANENT, AND DISABILITY INSURANCE, 1% OF TIME SPENT. 2) SASA DEL MEDIO LLC - 7350 SW 89TH STREET APT. 1502 MIAMI, FL 33156; COLLECTION OF RENT, PAYMENT HOMEOWNER ASSOCIATION, INSURANCE AND TAXES. 2 HOURS OF TIME SPENT MONTHLY. 3) SANCTI SPIRITUS LLC - 7355 SW 89TH STREET SUITE 528N, MIAMI, FL 33156; PAYMENT HOMEOWNER ASSOCIATION, PROPERTY TAXES AND INSURANCE. 2 HOURS OF TIME SPENT MONTHLY.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-05-09
S63 Uniform Securities Agent State Law Examination 1994-02-07
  • S65 Uniform Investment Adviser Law Examination
    2012-05-09
  • S63 Uniform Securities Agent State Law Examination
    1994-02-07
Other Names
  • Frank Lumpuy
  • Frank E Lumpuy
  • Frank Enrique Lumpuy

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Atlanta, GA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor