JL
John T. Lady
DIVERSIFY ADVISORY SERVICES
Greenville, SC 29615
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CRD#: 2045202
JL
Professional summary
John Terrell Lady, who also goes by John Lady, Jt Lady, is a registered financial advisor currently at DIVERSIFY ADVISORY SERVICES, LLC located in Greenville, South Carolina and DFPG INVESTMENTS, LLC located in Greenville, South Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Lady | Jt Lady
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Dixon Wells-Life Insurance Brokerage; Non-Investment Related; 330 Pelham Rd Suite 101B Greenville SC 29615; Insurance; Insurance Agent; 01/1996; 1% during business hours; Insurance Sales 2. Mass Mutual; Non-Investment Related; 330 Pelham Rd Suite 101B Greenville SC 29615; Insurance; Insurance Agent; 01/1996; 1% during business hours; Insurance Sales 3. Group Benefit Strategies; Non-Investment Related; 330 Pelham Rd Suite 101B Greenville SC 29615; Insurance; Insurance Agent; 01/1996; 1% during business hours; Insurance Sales 4. John T. Lady Inc.; non-investment related; Greenville, SC; S Corporation for tax filing; President; 09/08/2008; 1% during business hours; All income flows through my S Corp.
CRS (Client Relationship Summary) - RIA
Click below to view John Terrell Lady's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 26, 2023 - Present
DIVERSIFY ADVISORY SERVICES, LLC
Office #1: 330 Pelham Road Suite 101b, Greenville, SC 29615RIA
CRD#: 326060
Greenville, SC
Current
July 29, 2016 - Present
DFPG INVESTMENTS, LLC
Office #1: 330 Pelham Road Suite 101b, Greenville, SC 29615BD
CRD#: 155576
Greenville, SC
Past
August 1, 2016 - December 31, 2023
DFPG INVESTMENTS, LLC
RIA
CRD#: 155576
Greenville, SC
Past
September 23, 2008 - July 29, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
GREENVILLE, SC
Past
September 19, 2008 - July 29, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
GREENVILLE, SC
Past
April 4, 2006 - September 19, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
GREENVILLE, SC
Past
April 5, 1999 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
June 4, 1990 - September 19, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
GREENVILLE, SC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
Registered Investment Advisory firm - (8/31/2023 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/11/2017)
RR
Connecticut(12/6/2019)
RR
Delaware(4/13/2021)
RR
Florida(5/23/2022)
RR
Georgia(6/30/2017)
RR
Illinois(7/29/2016)
RR
Minnesota(7/29/2016)
RR
Missouri(8/10/2021)
RR
North Carolina(7/29/2016)
RR
Pennsylvania(7/29/2016)
RR
South Carolina(7/29/2016)
IAR
South Carolina(12/26/2023)
RR
Tennessee(3/6/2019)
RR
Virginia(1/6/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
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Contact information
Main Address
9017 S Riverside Dr. Suite 210, Sandy, UT 84070
Mailing Address
Phone number
(801) 890-7577
Established
Firm type
Fiscal year end
# of Employees
171
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,318 |
| AUM (Assets Under Management) | $ 3,206,698,268 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DIVERSIFY ADVISORY SERVICES, LLC
CRD#: 326060Greenville, SC 29615TRUST BUT VERIFY
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