Best Investors Account Sign in
Inactive

Carolyn Lou Lumley

A To Z Asset Advisors, LLC

Aiken, SC

Claim This Profile
Current Employers
A To Z Asset Advisors, Llc

Aiken, SC • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2022-11-14
NV RA APPROVED 2008-01-10
  • SC RA
    APPROVED
    Since 2022-11-14
  • NV RA
    APPROVED
    Since 2008-01-10

Branch Locations

Aiken, SC • 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
A To Z Asset Advisors, Llc Aiken SC 01/2008 Present
Private Client Services Llc. Louisville KY 10/2014 07/2017
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-01-24
S65 Uniform Investment Adviser Law Examination 1996-01-24
  • S63 Uniform Securities Agent State Law Examination
    1996-01-24
  • S65 Uniform Investment Adviser Law Examination
    1996-01-24
Designations
Other Names
  • Carolyn L Wagner
  • Carolyn L Burdick
  • Carolyn L Lumley
  • Carolyn Lou Waters

View on SEC IAPD

More in Aiken, SC

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor