Dudley Harold Otey

Current Employers

Employment History

• 06/2000 → 09/2017
  Lpl Financial Llc
  Memphis, TN
• 09/2017 → Present
  Cwm, Llc
  Omaha, NE
• 06/2000 → Present
  Hal Otey Financial
  Memphis, TN
• 09/2017 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA

Previous Registrations

• 2001-03-07 → 2017-09-28
  Lpl Financial Llc
  Memphis, TN

Other Businesses

1. NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON GROUP PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING AND ADDITIONAL ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 09/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISOR PROVIDING ADVISORY SERVICES TO ITS CLIENTS, INCLUDING DISCRETIONARY INVESTMENT MANAGEMENT AND FINANCIAL GUIDANCE. 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 09/2017 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES, LONG TERM CARE AND EQUITY INDEX UL 3. NAME OF OTHER BUSINESS: HAL OTEY FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2000 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OWNER, FINANCIAL ADVISOR, INSURANCE SALES 4. NAME OF OTHER BUSINESS: HAL OTEY INVESTMENT RELATED: NO ADDRESS: CORDOVA, TN NATURE OF BUSINESS: SINGING START DATE: 09/1977 POSITION/TITLE/RELATIONSHIP: SINGER APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: 3 BRIEF DESCRIPTION OF DUTIES: SEMI PROFESSIONAL SINGING

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-28
• S63 Uniform Securities Agent State Law Examination
  1988-01-26

Other Names

• Hal Otey