John L. York

PROACTIVE ADVISORS

Lexington, KY 40502

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CRD#: 7305948

Professional summary

John L York is a registered financial advisor currently at PROACTIVE ADVISORS, LLC located in Lexington, Kentucky.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. John 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. York helps rent and manage family-owned real estate and receives compensation for his work which is done after trading hours, at lunch time, and on weekends.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John L York'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®

None

Experience

Current

October 21, 2020 - Present

PROACTIVE ADVISORS, LLC

Office #1: 836 Euclid Ave. Suite 306, Lexington, KY 40502

RIA

CRD#: 147332

Lexington, KY

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

Kentucky
(10/21/2020)

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 65

Date: 10/16/2020

Uniform Investment Adviser Law Examination

Current Firm

PROACTIVE ADVISORS, LLC

CRD#: 147332 / SEC#: 801-69233

RIA

Registered Investment Advisory firm - (10/12/2012 Terminated)

Kentucky

Registered Investment Advisory firm - (9/21/2012 Approved)

South Carolina

Registered Investment Advisory firm - (12/5/2013 Terminated)

Texas

Registered Investment Advisory firm - (1/2/2018 Conditional Restricted)

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).

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Contact information

Main Address

836 Euclid Ave. Suite 306, Lexington, KY 40502

Mailing Address

Phone number

859-263-1117 X222

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 46,375,951

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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John L. York

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John L York's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROACTIVE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/2020

Current Firm

PROACTIVE ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROACTIVE ADVISORS, LLC

TRUST BUT VERIFY

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