Carolyn Lumley (CRD# 2690228) is an Investment Advisor Representative working at A To Z Asset Advisors, LLC in Aiken, SC and has over 28 years of experience in the finance industry. Carolyn Lumley has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 2693083
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 4316881
Stifel, Nicolaus & Company, Incorporated
CRD# 5101699
Osaic Wealth, Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| A To Z Asset Advisors, LLC | Aiken, SC | Jan 2008 - Current | 16 |
| Private Client Services LLC | Louisville, KY | Oct 2014 - Jul 2017 | 2 |
| Purshe Kaplan Sterling Investments | Albany, NY | Jan 2009 - Oct 2014 | 5 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jan 1996 |
| S65 | NASAA Investment Advisors Law Examination | Jan 1996 |
- NV
- SC
-
Total Assets Under Management15MILLIONS
-
Total Number of Accounts170ACCOUNTS
-
Average Account Value$89,339
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Publication of periodicals or newsletters
NV, SC
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