Bobby Lee Busby
Professional Summary
Bobby Lee Busby is a registered financial advisor currently at JOHNSON STERLING, INC. located in Birmingham, Alabama. Bobby is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Bobby has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
JOHNSON STERLING ASSET MANAGEMENT | JOHNSON STERLING, INC. | JOHNSON STERLING RETIREMENT SERVICES | JOHNSON STERLING PAUL SECURITIES INC
Contact Information
Main Address
820 Shades Creek Parkway Suite 3200, Birmingham, AL 35209Phone Number
(205) 871-9940# of Employees
10SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
365AUM (Assets Under Management)
$3,901,463,778Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
JOHNSON STERLING ASSET MANAGEMENT | JOHNSON STERLING, INC. | JOHNSON STERLING RETIREMENT SERVICES | JOHNSON STERLING PAUL SECURITIES INC
State Registrations and Notice Filings
(6/6/2018)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2011About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2015About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Bobby Lee Busby's CRS (Customer Relationship Summary).
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