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527 Wellington Way, Ste 225, Lexington, KY 40503 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2014-03-31 |
Branch Locations
527 Wellington Way, Ste 225, Lexington, KY 40503 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Lexington | KY | 08/2009 | Present |
| Keystone Financial Group, Llc | Lexington | KY | 02/2014 | Present |
(1) 1/2/2013: DBA ONLY - KEYSTONE FINANCIAL GROUP - LEXINGTON, KY (2) 04/25/2014 - REGISTERED INVESTMENT ADVISOR - KEYSTONE FINANCIAL GROUP - ADVICE FOR A FIXED FEE - 65% OF TIME SPENT - LEXINGTON, KS (3) 03/27/2015 - B. SEWARD TOTTY, LLC - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - BUSINESS ENTITY - B. SEWARD TOTTY, LLC - TIME SPENT - 160 HOURS PER MONTH - LEXINGTON, KY
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-30 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-07 |
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