David Alan Koty

Current Employers

Zacks Investment Management, Inc.

101 N. Wacker Drive Suite 1500, Chicago, IL 60606 • United States

Current Registrations

Authority	Category	Status	Date
TN	RA	APPROVED	2011-08-22

TN RA
APPROVED

Since 2011-08-22

Branch Locations

Franklin, TN • United States

101 N. Wacker Drive Suite 1500, Chicago, IL 60606 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Zacks Investment Management	Chicago	IL	08/2011	Present
Lbmz Securities, Inc.	Chicago	IL	12/2011	Present

08/2011 → Present

Zacks Investment Management

Chicago, IL
12/2011 → Present

Lbmz Securities, Inc.

Chicago, IL

Previous Registrations

2003-07-31 → 2011-08-22

Wells Fargo Clearing Services, Llc

Brentwood, TN

Brentwood, TN
2000-12-13 → 2003-03-19

Ubs Financial Services Inc.

Brentwood, TN

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-08-08
S63	Uniform Securities Agent State Law Examination	1996-07-26

S65 Uniform Investment Adviser Law Examination

2011-08-08
S63 Uniform Securities Agent State Law Examination

1996-07-26