Home  >  BrightScope Advisor Pages  >  J.J.B. Hilliard, W.L. Lyons, LLC

help text

J.J.B. Hilliard, W.L. Lyons, LLC

J.J.B. Hilliard, W.L. Lyons, LLC
J.J.B. Hilliard, W.L. Lyons, LLC is a broker-dealer with 631 financial professionals registered nationwide. The firm's primary clients are Individuals, High Net Worth Individuals and Pension and Profit Sharing Plans.

Advisors (631)

help text
Name Start Date
Adam Denny Estes May 2003
Adam Eugene Richardson May 2008
Aimee A. Gibson Mar 2004
Alan Francis Morel Jan 2006
Alan Hamburg Newman Feb 1999
View All
*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Firm Assets Under Management

help text
$3.7B
Total Assets
14K
Accounts
$261.4K
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.

Ownership

help text
ownership pie chart
  •   Hl Financial Services, LLC (75% or more)
  •   Executives with less than 5% share each

*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

help text
Name Title Tenure Date
Donald Lee Asfahl Executive Vice President 12/01/2005
Wesley Lee Ringo Senior Vice President, Chief Compliance Officer 11/01/2006
James Reid Allen Chairman of The Board, CEO, President 01/01/2004
James Michael Rogers Director, Chief Operating Officer, Executive Vice President 11/01/1996
Carmella Rasi Miller Director, Chief Administrative Officer, Executive Vice President 01/01/2003

Affiliated Investment Advisors and Broker Dealers

help text

No firm affiliates listed.

Principal Office & Place of Business

help text

Principal Office

Address:
500 West Jefferson Street
Louisville , KY 40202
Phone Number: 502-588-8400
Other Offices Address City State Zip
10200 Forest Green Blvd Louisville KY 40223
4801 Olympia Park Plaza Louisville KY 40241
325 West Main Street Lexington KY 40507
300 Country Pine Lane Battle Creek MI 49015
110 Main Street Evansville IN 47708

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees