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220 Lexington Green Circle Suite 420, Lexington, KY 40503 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2018-08-28 |
Branch Locations
220 Lexington Green Circle Suite 420, Lexington, KY 40503 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dividend Assets Capital, Llc | Ridgeland | SC | 06/2014 | 08/2018 |
| Asio Capital, Llc | Lexington | KY | 07/2018 | Present |
1. Kentucky Retirement Systems; Investment-Related; Lexington, KY; Board Member; 01/01/2019; Approximately 4 hours per month; 1 hour per month during trading hours; Primary responsibilities are for assisting with the oversight of Kentucky's Retirement System. 2. Ann Hail Irrevocable Trust; Investment-Related; Lexington, KY; Investment Advisor/Trustee; Board Member; 01/01/2019; Approximately 4 hours per month; 1 hour per month during trading hours; Primary responsibilities as advisor is oversight body to the Trustees. Responsibilities as trustee include trading, distributions, overall trust management.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-01-23 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-17 |
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