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JW

Jody E. Wyatt

Some features on this profile are disabled
CRD#: 4578549
JW

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.

Jody Elizabeth Wyatt, who also goes by Jody Elizabeth Gay, was a registered financial professional .

Jody is a previously registered financial professional and started their career in finance in 2005. Jody had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jody Elizabeth Gay

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 6, 2021 - December 13, 2024

LION STREET FINANCIAL, LLC

BD
CRD#: 165828
MIDLOTHIAN, VA
Past

November 25, 2019 - December 31, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
MIDLOTHIAN, VA
Past

November 25, 2019 - December 31, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
MIDLOTHIAN, VA
Past

March 16, 2018 - November 15, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
RICHMOND, VA
Past

March 16, 2018 - November 15, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
RICHMOND, VA
Past

October 2, 2014 - March 16, 2018

B. C. ZIEGLER AND COMPANY

BD
CRD#: 61
GLEN ALLEN, VA
Past

September 17, 2014 - March 16, 2018

B. C. ZIEGLER AND COMPANY

RIA
CRD#: 61
GLEN ALLEN, VA
Past

January 2, 2009 - December 31, 2012

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
RALEIGH, NC
Past

April 23, 2008 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
RALEIGH, NC
Past

October 25, 2007 - December 31, 2012

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
RALEIGH, NC
Past

December 14, 2005 - September 20, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHARLOTTESVILLE, VA

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/17/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/2005
General Securities Representative Examination

Current Firm

LS
LION STREET FINANCIAL, LLC
LION STREET FINANCIAL, LLC

CRD#: 165828 / SEC#: , 8-69183

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
300 Colorado St Suite 2600, Austin, TX 78701
Mailing Address
300 Colorado St Suite 2600, Austin, TX 78701
Phone number
(512) 776-8400
Established
Delaware since 01/07/2022
Firm type
Limited Liability Company
Fiscal year end
January
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LION STREET, LLCHOLDING COMPANY
BURMEISTER, JOHN FREDRICK IIPRESIDENT & CEO4245451
HECKLER, CARIE MARIECHIEF COMPLIANCE OFFICER4557559
RATAJCZAK, KARIFINANCIAL & OPERATIONS PRINCIPAL6008791

Disclosures

Regulatory Event1

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

LION STREET FINANCIAL, LLC

CRD#: 165828

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