Lucius G. Briggs
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lucius Goffe Briggs, who also goes by Lucius Goffe Briggs II, was a registered financial professional .
Lucius is a previously registered financial professional and started their career in finance in 1993. Lucius had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2010 - April 20, 2018
TRUST ADVISORY GROUP LTD
July 28, 2010 - April 18, 2018
AGES FINANCIAL SERVICES, LTD.
March 15, 2010 - July 28, 2010
BOLTON SECURITIES CORPORATION
March 10, 2010 - July 28, 2010
BOLTON GLOBAL CAPITAL
January 1, 2008 - March 10, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - March 10, 2010
WELLS FARGO CLEARING SERVICES, LLC
April 19, 2001 - January 1, 2008
A. G. EDWARDS & SONS, INC.
March 14, 2001 - January 3, 2008
A. G. EDWARDS & SONS, INC.
July 18, 2000 - February 27, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 1998 - July 5, 2000
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - October 29, 1998
CITIGROUP GLOBAL MARKETS INC.
February 4, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
TRUST ADVISORY GROUP LTD
CRD#: 106926 / SEC#: 801-46919
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRUST ADVISORY GROUP LTD
CRD#: 106926 / SEC#: 801-46919
Contact information
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,720 |
| AUM (Assets Under Management) | $ 494,407,359 |
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.
