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5350 Poplar Avenue Suite 600, Memphis, TN 38119 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2020-10-16 |
Branch Locations
5350 Poplar Avenue Suite 600, Memphis, TN 38119 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Memphis | TN | 05/2012 | Present |
| Duncan Williams Asset Management, Llc | Memphis | TN | 10/2020 | Present |
1. Pinpoint Financial, LLC; Investment Related; 3238 Players Club Cir Memphis, TN 38125-8843; LLC; Third Party Administrator; Principal; Start Date: 5/17/2012; 80 hours per month devoted; 80 hours per month devoted during trading hours; Administer Qualified Retirement Plans for small or medium size employers 2. St. Luke's United Methodist Church Endowment Fund Committee; Non-Investment Related; 480 S Highland Street, Memphis, TN 38111; Non-Profit; Member of Committee; Start Date: 9/21/2021; Less than 1 hour per week devoted; 0 hours devoted during trading hours; Member of a three person group charged with the review of the endowment fund 3. 9/23/21 - Thrive Memphis; Non-Investment Related; 6560 Poplar Avenue, Ste B, Memphis, TN 38138; Non-Profit; Board Member; Start Date: 9/23/2021; 1 hour per week devoted, 0 hours devoted during trading hours; Fundraising
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-01-08 |
| S63 | Uniform Securities Agent State Law Examination | 2008-04-24 |
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