David Koty is a registered investment advisor, based in Franklin, TN, with 30 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Franklin, TN
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Regulatory History (2)
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Employment Separation After Allegations
May 1999Customer Dispute
May 1999Settled
Employment History
Current Registrations
Lbmz Securities, INC.Broker
August 2011 - Present · 15 yrs 2 mos
Lbmz Securities, INC.
August 2011 - Present · 15 yrs 2 mos
Zacks Investment Management, INC.
August 2011 - Present · 15 yrs 2 mos
Previous Registrations
Wells Fargo Advisors, LLC
July 2003 - August 2011 · 8 yrs 1 mo
Wells Fargo Advisors, LLCBroker
July 2003 - August 2011 · 8 yrs 1 mo
Prudential Securities IncorporatedBroker
March 2003 - July 2003 · 4 mos
UBS Painewebber INC.
December 2000 - March 2003 · 2 yrs 3 mos
UBS Painewebber INC.Broker
June 1999 - March 2003 · 3 yrs 9 mos
J.J.B. Hilliard, W.L. Lyons, INC.Broker
July 1996 - June 1999 · 2 yrs 11 mos
State Registrations1 state
TN
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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