Christopher K. Lloyd

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CRD#: 725209

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.

Christopher Kent Lloyd, who also goes by Chris Kent Lloyd, Chris Lloyd, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1981. Christopher had worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Kent Lloyd | Chris Lloyd

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

August 6, 2010 - June 28, 2013

CARSON ADVISORY GROUP

RIA

CRD#: 117410

ATHENS, GA

Past

January 15, 2010 - June 17, 2013

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

ATHENS, GA

Past

July 6, 2009 - June 17, 2013

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ATHENS, GA

Past

June 15, 2002 - January 16, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 27, 1989 - June 15, 2002

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

February 23, 1981 - March 9, 1989

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

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".

CARSON ADVISORY GROUP

CARSON ADVISORY GROUP | CARSON ADVISORY, INC.

CRD#: 117410 / SEC#: 801-64883

RIA

Registered Investment Advisory firm - (1/3/2006 Approved)

Georgia

Registered Investment Advisory firm - (1/13/2006 Terminated)

Virginia

Registered Investment Advisory firm - (12/31/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 66

Date: 9/9/2009

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/18/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/12/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/2/2009

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 6/9/1980

Registered Representative Examination

Current Firm

CARSON ADVISORY GROUP

CARSON ADVISORY GROUP | CARSON ADVISORY, INC.

CRD#: 117410 / SEC#: 801-64883

RIA

Registered Investment Advisory firm - (1/3/2006 Approved)

Georgia

Registered Investment Advisory firm - (1/13/2006 Terminated)

Virginia

Registered Investment Advisory firm - (12/31/2004 Terminated)

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Contact information

Main Address

470 Hill St., Athens, GA 30601

Mailing Address

Phone number

(706) 543-6578

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CARSON ADVISORY GROUP 2025 ANNUAL PARTS 2A AND 2B (3/26/2025)

Regulatory assets under management

Total Number of Accounts	2,145
AUM (Assets Under Management)	$ 771,707,055

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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Advisor Monitoring

Firm Stability Insights

Christopher K. Lloyd

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WACHOVIA SECURITIES, INC.

THE ROBINSON-HUMPHREY COMPANY, LLC

Primary Firm SEC Registration

CARSON ADVISORY GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/2009

Series 65

Date: 11/18/1994

Series 63

Date: 3/12/1981

Series 7

Date: 7/2/2009

Series 1

Date: 6/9/1980

Current Firm

CARSON ADVISORY GROUP

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARSON ADVISORY GROUP

TRUST BUT VERIFY

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