Carolyn L. Lumley
Professional summary
Carolyn Lou Lumley, CFP®, who also goes by Carolyn L Burdick, Carolyn L Lumley, Carolyn L Wagner, Carolyn Lou Waters, is a registered financial advisor currently at A TO Z ASSET ADVISORS, LLC located in Aiken, South Carolina.
Carolyn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Carolyn has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Carolyn Lou Lumley's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2005
Experience
January 10, 2008 - Present
A TO Z ASSET ADVISORS, LLC
October 10, 2014 - July 3, 2017
PRIVATE CLIENT SERVICES, LLC
January 2, 2009 - October 10, 2014
PURSHE KAPLAN STERLING INVESTMENTS
October 31, 2005 - December 20, 2007
OSAIC SERVICES, INC.
December 2, 2002 - October 31, 2005
SUNAMERICA SECURITIES, INC.
March 22, 2000 - December 17, 2002
RBC CAPITAL MARKETS, LLC
November 12, 1998 - December 17, 2002
RBC CAPITAL MARKETS, LLC
January 9, 1996 - November 16, 1998
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/10/2008)
(11/14/2022)
Exams
Current Firm
A TO Z ASSET ADVISORS, LLC
CRD#: 146146 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 163 |
| AUM (Assets Under Management) | $ 15,751,676 |
Red Flags
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