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LM

Lori D. Mayfield

H & L EQUITIES
Atlanta, GA 30361
Some features on this profile are disabled
CRD#: 4899271
LM

Professional summary

Lori Dunn Mayfield, who also goes by Lori Adrienne Dunn, is a registered financial professional currently at H & L EQUITIES, LLC located in Atlanta, Georgia.

Lori is registered as a RR (Registered Representative) and started their career in finance in 2005. Lori has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lori Adrienne Dunn

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) - BD

Click below to view Lori Dunn Mayfield's CRS (Customer Relationship Summary).
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

June 1, 2006 - Present

H & L EQUITIES, LLC

Office #1: 1175 Peachtree St., Ne Suite 2200, Atlanta, GA 30361Office #2: 1175 Peachtree St., Ne Suite 2200, Atlanta, GA 30361-6206
BD
CRD#: 113794
Atlanta, GA
Past

February 25, 2005 - May 16, 2006

STILLPOINT WEALTH MANAGEMENT, LLC

BD
CRD#: 119154
ATLANTA, GA

State Registrations and Notice Filings

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

RR
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

RR
Florida
(11/21/2019)
RR
Georgia
(8/20/2010)
RR
Texas
(8/14/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/18/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/24/2005
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

H&
H & L EQUITIES, LLC
H & L EQUITIES, LLC

CRD#: 113794 / SEC#: , 8-53371

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

Main Address
1175 Peachtree St., Ne Suite 2200, Atlanta, GA 30361-6206
Mailing Address
1175 Peachtree St., Ne Suite 2200, Atlanta, GA 30361-6206
Phone number
(404) 892-3300
Established
Georgia since 06/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 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#
HARRISON, CHARLES BOWNER3071551
JOHNSON, PHYLLIS JEANNEOWNER1020488
CARON, PAUL STEPHENCCO2451071
HARRISON, CHRISTOPHER SCOTT MR.CEO4981070
MAYFIELD, LORI DUNNCFO4899271

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

H & L EQUITIES, LLC

CRD#: 113794Atlanta, GA 30361

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