LF
Lloyd B. Flood
NICHOLAS HOFFMAN & COMPANY
ATLANTA, GA 30309-2929
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CRD#: 6869285
LF
Professional summary
Lloyd Bertrand Flood, CFP® is a registered financial advisor currently at NICHOLAS HOFFMAN & COMPANY, LLC located in Atlanta, Georgia.
Lloyd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Lloyd has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Mr. Flood serves in a non-paid, volunteer role with First Presbyterian Atlanta Investment Management Committee assisting with top level portfolio strategy, performance review, manager oversight, and distributions. He became part of this group mid-year 2024 and spends approximately three hours per month on this activity. Committee meetings may be held during trading hours; however, due to the committee structure, use of an outside investment manager, and the long-term strategic nature of the portfolio, interference with his firm responsibilities is highly unlikely and will be monitored.
CRS (Client Relationship Summary) - RIA
Click below to view Lloyd Bertrand Flood's 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®
Experience
Current
November 1, 2017 - Present
NICHOLAS HOFFMAN & COMPANY, LLC
Office #1: Two Midtown Plaza 1349 West Peachtree Street St. Nw, Suite 1050, Atlanta, GA 30309-2929RIA
CRD#: 144516
ATLANTA, GA
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".
NH
NICHOLAS HOFFMAN & COMPANY, LLC
FAMILY CFO, LLC | NICHOLAS HOFFMAN & COMPANY, LLC
CRD#: 144516 / SEC#: 801-68306
RIA
Registered Investment Advisory firm - (9/14/2007 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Georgia(11/1/2017)
IAR
Texas(2/24/2023)
Current Firm
NH
NICHOLAS HOFFMAN & COMPANY, LLC
FAMILY CFO, LLC | NICHOLAS HOFFMAN & COMPANY, LLC
CRD#: 144516 / SEC#: 801-68306
RIA
Registered Investment Advisory firm - (9/14/2007 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Two Midtown Plaza 1349 West Peachtree Street St. Nw, Suite 1050, Atlanta, GA 30309-2929
Mailing Address
1355 Peachtree Street Suite 1450, Atlanta, GA 30309
Phone number
(404) 815-5050
Established
Firm type
Fiscal year end
# of Employees
23
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,215 |
| AUM (Assets Under Management) | $ 7,161,171,861 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2024 | ||
| 10/17/2023 | ||
| 12/08/2022 |
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.
