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1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-10-25 |
| AL | RA | APPROVED | 2015-05-28 |
Branch Locations
248 Inverness Center Drive, Birmingham, AL 35242 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Birmingham | AL | 05/2015 | 06/2018 |
| Rfg Advisory | Birmingham | CA | 05/2015 | Present |
| Private Client Services | Birmingham | AL | 06/2018 | Present |
1) 05/15/2015. JOAN LOVE SMITH IRREVOCABLE TRUST. 248 INVERNESS CENTER DRIVE, BIRMINGHAM, AL 35242. MOTHERS TRUST ACCT. TRUSTEE. 2 HOURS/MO; 1 DURING TRADING HOURS. 2) 05/15/2015. RFG ADVISORY. 248 INVERNESS CENTER DRIVE, BIRMINGHAM, AL 35242. DBA FOR PCS ACTIVITIES. REGISTERED REPRESENTATIVE. 35 HOURS/MO; 35 DURING TRADING HOURS. 3) 05/15/2015. RFG ADVISORY. 248 INVERNESS CENTER DRIVE, BIRMINGHAM, AL 35242. ADVISORY ACTIVITIES. IAR. 40 HOURS/MO; 40 DURING TRADING HOURS. 4) NAME OF BUSINESS: LHP CAPITAL LLC. INVESTMENT-RELATED: YES, REAL ESTATE. ADDRESS: 1305 BRANCHWATER LANE, VESTAVIA, AL 35216. NATURE OF BUSINESS: COMMERCIAL REAL ESTATE. POSITION/TITLE: MEMBER/CO-OWNER OF LLC. START: 05/24/2021. HOURS DEVOTED TO OTHER BUSINESS: 2 HOURS/MONTH DEVOTED OUTSIDE SECURITIES TRADING HOURS. DUTIES: CO-OWNER, ASSIST WITH BUYING AND MANAGING COMMERCIAL REAL ESTATE PROPERTY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-03-16 |
| S63 | Uniform Securities Agent State Law Examination | 1995-10-27 |
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