J.J.B. HILLIARD, W.L. LYONS, LLC
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J.J.B. HILLIARD, W.L. LYONS, LLC
(CRD# 453)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Louisville, KY.
The SEC approved the firm to operate as an RIA in
Dec 1984.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$9.3 Billion,
with discretion over
53%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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J.J.B. HILLIARD, W.L. LYONS, LLC
also reported in
Mar 2019
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1025
employees,
with
384
performing advisory functions.
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A total of 83 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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J.J.B. HILLIARD, W.L. LYONS, LLC has one or more disclosure events currently on file with the SEC.
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J.J.B. HILLIARD, W.L. LYONS, LLC has Notice Filings with the following State Securities Authorities: <
AK-Dec 2010, AL-Mar 2007, AR-Jun 2001, AZ-Jan 2001, CA-Jul 1997
, CO-Mar 2007, CT-Mar 2008, DC-Nov 2012, DE-Dec 2018, FL-Jun 1990
, GA-Apr 2002, HI-Dec 2018, IA-Dec 2010, ID-Dec 2011, IL-May 1995
, IN-Jan 2001, KS-Mar 2008, KY-Jan 2001, LA-Dec 2010, MA-Mar 2008
, MD-Jan 2002, ME-Dec 2018, MI-Jan 2001, MN-Dec 2010, MO-Mar 2008
, MS-Jan 2002, MT-Nov 2009, NC-Jan 2001, NE-Dec 2018, NH-Dec 2010
, NJ-Apr 2008, NM-Dec 2011, NV-Nov 2009, NY-Mar 2006, OH-Jan 2001
, OK-Dec 2010, OR-Nov 2009, PA-Mar 2006, RI-Dec 2018, SC-Jun 2003
, TN-Jan 1998, TX-Mar 2007, UT-Dec 2010, VA-Jan 2001, VT-Dec 2018
, WA-Mar 2008, WI-Nov 2009, WV-Aug 1998, WY-Dec 2018
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The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
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SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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