Stephen Golliher, financial advisor Knoxville TN
83 score

Stephen Golliher

CRD Number: 1074656
Current Firm: J.j.b. Hilliard, W.l. Lyons, LLC

Stephen Golliher (CRD# 1074656) is an Investment Advisor Representative working at J.j.b. Hilliard, W.l. Lyons, LLC in Knoxville, TN and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
J.j.b. Hilliard, W.l. Lyons LLC Knoxville, TN Mar 2009 - Current 7
Citigroup Global Markets Inc. Knoxville, TN Jul 1993 - Mar 2009 15
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1983
S65 NASAA Investment Advisors Law Examination Dec 2005
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Stephen M. Golliher
Phone Number: 502-588-8400
Firm Website: http://www.hilliard.com
Registered State(s):
  • TN
  • TX
By the Numbers
  • Total Assets Under Management
    6,179
    MILLIONS
  • Total Number of Accounts
    21,382
    ACCOUNTS
  • Average Account Value
    $288,982
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, NH, NJ, NM, NV, NY, OH, OK, OR, PA, SC, TN, TX, UT, VA, WA, WI, WV

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BADGES
83

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