Lois A. Bafas

ANOVEST INVESTMENT ADVISORS

Marietta, GA 30062

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CRD#: 2207265

Professional summary

Lois Ann Bafas, who also goes by Lois A Bafas, Lois Wood Bafas, is a registered financial advisor currently at ANOVEST INVESTMENT ADVISORS located in Marietta, Georgia and ANOVEST FINANCIAL SERVICES, INC. located in Marietta, Georgia.

Lois is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Lois has worked at 4 firms and has passed the Series 63, Series 65, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 28, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lois A Bafas | Lois Wood Bafas

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.

INSURANCE AGENT (NOT INVESTMENT RELATED),213 TRADITIONS DR, ALPHARETTA, GA 30004; SALE OF HEALTH AND LIFE INSURANCE APPOINTED BY VARIOUS INSURANCE COMPANIES;SINCE 08/2005;APPROX.15 HRS/YR (CE);SAME DURING TRDG HRS;COMMISSION SALES. SINCE JUNE 8, 2011, IAR/CORP.SEC. OF ANOVEST INVESTMENT ADVISORS, INC (REGISTERED INVESTMENT ADVISER); SAME ADDRESS AS ANOVEST FINANCIAL SERVICES; INVESTMENT-RELATED; # OF HOURS/MONTH IS NOT DETERMINABLE SINCE HOURS WORKED ARE INTERSPERSED WITH ANOVEST FINANCIAL SERVICES; DUTIES INCLUDE ADVICE AND PLANNING, ADMINISTRATIVE AND MAINTAINING CORPORATE RECORDS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lois Ann Bafas'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®

None

Experience

Current

November 7, 2007 - Present

ANOVEST INVESTMENT ADVISORS

Office #1: 3225 Shallowford Road Suite 220, Marietta, GA 30062

RIA

CRD#: 132344

Marietta, GA

Current

May 11, 2005 - Present

ANOVEST FINANCIAL SERVICES, INC.

Office #1: 3225 Shallowford Road, Suite 220, Marietta, GA 30062Office #2: 3225 Shallowford Road, Suite 220, Marietta, GA 30062

CRD#: 133593

Marietta, GA

Past

August 12, 2004 - October 31, 2007

ANOVEST INVESTMENT ADVISORS

RIA

CRD#: 132344

MARIETTA, GA

Past

April 6, 2002 - August 8, 2005

STONEX SECURITIES INC.

CRD#: 18456

BIRMINGHAM, AL

Past

March 7, 2000 - April 6, 2002

INTL CUSTODY & CLEARING SOLUTIONS INC.

CRD#: 23952

BIRMINGHAM, AL

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.

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

Georgia
(5/17/2005)

IAR

Georgia
(11/7/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

FINRA

Current Firm

ANOVEST INVESTMENT ADVISORS

ANOVEST INVESTMENT ADVISORS | ANOVEST INVESTMENT ADVISORS, INC.

CRD#: 132344 / SEC#:

Georgia

Registered Investment Advisory firm - (7/30/2004 Approved)

Texas

Registered Investment Advisory firm - (4/3/2018 Conditional Restricted)

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Contact information

Main Address

3225 Shallowford Road Suite 220, Marietta, GA 30062

Mailing Address

Phone number

(770) 971-7117

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	55
AUM (Assets Under Management)	$ 31,438,360

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.

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Advisor Monitoring

Firm Stability Insights

Lois A. Bafas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lois Ann Bafas's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANOVEST FINANCIAL SERVICES, INC.

ANOVEST INVESTMENT ADVISORS

STONEX SECURITIES INC.

INTL CUSTODY & CLEARING SOLUTIONS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/20/2000

Series 65

Date: 12/22/1999

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/6/2000

Series 14

Date: 1/2/2023

Series 28

Date: 2/23/2008

Series 53

Date: 4/19/2005

Series 24

Date: 7/6/2001

FINRA

Current Firm

ANOVEST INVESTMENT ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ANOVEST INVESTMENT ADVISORS

TRUST BUT VERIFY

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