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Current Employers
Bright Investments, Llc

570 Devall Drive Suite 303, Auburn, AL 36832 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2023-04-18
AL RA APPROVED 2015-12-11
  • KY RA
    APPROVED
    Since 2023-04-18
  • AL RA
    APPROVED
    Since 2015-12-11

Branch Locations

570 Devall Drive Suite 303, Auburn, AL 36832 • United States

Bowling Green, KY • United States

Lyons View Capital, Llc

570 Devall Dr Ste 303, Auburn, AL 36832 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2023-04-06
  • AL RA
    APPROVED
    Since 2023-04-06

Branch Locations

570 Devall Dr Ste 303, Auburn, AL 36832 • United States

Bowling Green, KY • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bright Investments Auburn AL 12/2015 Present
Avondale Partners Nashville TN 07/2016 09/2016
Lyons View Capital, Llc Auburn AL 11/2022 Present
  • 12/2015 → Present
    Bright Investments
    Auburn, AL
  • 07/2016 → 09/2016
    Avondale Partners
    Nashville, TN
  • 11/2022 → Present
    Auburn, AL
Previous Registrations
  • 2010-03-08 → 2015-09-16
    Avondale Partners, Llc
    Nashville, TN
    Nashville, TN
  • 2006-06-23 → 2015-09-16
    Sausalito, CA
  • 2003-05-29 → 2004-11-12
    Powelljohnson
    Nashville, TN
Other Businesses

Name of the other business: Avondale Futures Group Investment-related: YES Address: 40 Burton Hills Blvd, Ste 200, Nashville TN 37215 Nature of the other business: cotton futures, independent introducing broker Position: employee of affiliated firm, Bright Investments Title: Compliance Officer Start date: April 1, 2019 Approximate number of hours/month: 4 hours a month Number of hours devoted during securities trading hours: 4 hours a month Duties relating to the other business: compliance supervision and oversight Name of the other business: Lyons View Capital, LLC Investment-related: YES Address: 570 Devall Dr, Ste 303, Auburn AL 36832 Nature of the other business: registered investment advisor Position: partner and executive officer of affiliated firm Title: Chief Operating and Compliance Officer Start date: Nov 2022 Approximate number of hours/month: 160 hours a month Number of hours devoted during securities trading hours: 160 hours a month Duties relating to the other business: operations and compliance supervision and oversight

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-05-27
S63 Uniform Securities Agent State Law Examination 1995-06-09
  • S65 Uniform Investment Adviser Law Examination
    2003-05-27
  • S63 Uniform Securities Agent State Law Examination
    1995-06-09
Other Names
  • Sarah Jane Oconnor
  • Sarah Jane Risley
  • Sarah Jane Oconnor
  • Sarah Jane Sherck

View on SEC IAPD

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