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Frank E Lumpuy

SB Advisory, LLC

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About Frank E Lumpuy

Frank Lumpuy is an investment advisor representative with SB Advisory, LLC in Atlanta, GA. Frank has been in the industry since 1991. Frank has a broad range of experience in financial services. Frank specializes in providing financial planning, portfolio management for individuals, and selection of other advisors. Frank holds the Series 6, 7, 24, 26, 63, and 65 licenses.

Firm Information

Frank Lumpuy is currently registered with SB Advisory, LLC. SB Advisory, LLC is an investment advisory firm based in Atlanta, Georgia. The firm provides financial planning and portfolio management services to individuals and high-net-worth individuals. SB Advisory, LLC is registered with the SEC and has a total of 1045 client accounts with regulatory assets under management of $285,851,527.
SB Advisory, LLC

3424 PEACHTREE ROAD NE

ATLANTA, GA 30326-1184

$285.85M

Assets Under Management

Not reported

Total Clients

27

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Frank Lumpuy’s Registration & Firm History

FL

06/03/2024 - Present

SB Advisory, LLC (MIAMI FL)

FL

06/28/2006 - 02/23/2024

KOVACK SECURITIES INC. (Miami FL)

FL

04/16/2003 - 06/14/2006

NEWBRIDGE SECURITIES CORPORATION (MIAMI FL)

FL

03/26/2003 - 05/07/2003

HIGH MARK SECURITIES, INC. (LAKELAND FL)

NY

01/01/1991 - 09/11/2002

AXA ADVISORS, LLC (NEW YORK NY)

NY

01/01/1991 - 01/05/2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)

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Licenses & Designations

IA

Issued 05/09/2012

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/07/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/28/2007

Series 24 - General Securities Principal Examination

BC

Issued 11/13/1995

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/30/1999

Series 7 - General Securities Representative Examination

BC

Issued 12/21/1990

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are 6 public disclosures for Frank E Lumpuy. Review regulatory record here.
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