William G. Anlyan

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CRD#: 2774334

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.

William George Anlyan JR was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1996. William had worked at 5 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.Divers Alert Network, Inc. (DAN, Inc.): a.Not investment related b.Divers safety association that offers memberships for avid scuba divers c.Durham, NC 27705 d.Non-paid Director e.Less than 5% of time spent on this board - no time during trading hours 2.AGI (Accident General Insurance) of Cayman Islands, Ltd. a.Not investment related although my firm does manage an investment account for this 501-3� nonprofit. b.Diver Safety association, company that offers life/accident insurance to members c.Cayman Islands d.Non-paid Director e.Less than 5% of time spent on this board - no time during trading hours 3.DAN Segregated Portfolio Company (SPC) a.Not investment related b.Diver Safety Association, this branch offers liability insurance for dive instructors c.Cayman Islands d.Non-paid Director e.Less than 5% of time spent on this board - no time during trading hours 4.DAN Risk Retention Group, Inc. (RRG) a.Not investment related b.Diver Safety Association, this branch writes the paper for the insurance through Lloyds of London c.Charleston, SC d.Vice President (non-paid) e.Less than 5% of time spent on this board - no time during trading hours

Blog Corner

CRS (Client Relationship Summary)

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

September 18, 1996 - March 21, 1999

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

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".

LUMINA WEALTH MANAGEMENT, LLC

CRD#: 291548 / SEC#: 801-112277

RIA

Registered Investment Advisory firm - (12/8/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/13/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/2/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 10/27/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/17/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 10/27/2003

NFA Branch Manager Examination

Current Firm

LUMINA WEALTH MANAGEMENT, LLC

CRD#: 291548 / SEC#: 801-112277

RIA

Registered Investment Advisory firm - (12/8/2017 Approved)

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Contact information

Main Address

1427 Military Cutoff Road Suite 207, Wilmington, NC 28403

Mailing Address

Phone number

(910) 599-9409

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LUMINA WEALTH MANAGEMENT, LLC BROCHURE (5/1/2025)

Regulatory assets under management

Total Number of Accounts	166
AUM (Assets Under Management)	$ 196,838,119

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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Firm Stability Insights

William G. Anlyan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ANLYAN & HIVELY PRIVATE CLIENT GROUP, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

J.C. BRADFORD & CO.

Primary Firm SEC Registration

LUMINA WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/13/2000

Series 63

Date: 10/2/1996

Series 31

Date: 10/27/2003

Series 7

Date: 9/17/1996

Series 30

Date: 10/27/2003

Current Firm

LUMINA WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LUMINA WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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