A.T. LLOYD'S, INC of SEATTLE, WA is an SEC-registered investment adviser (CRD 148225). Regulatory assets under management: $126.9M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Anamaria Teresa Lloyd | PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| LLOYD ANAMARIA TERESA | PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-05-01 | regulatory | AFTER 8 CLIENTS MOVED FROM WASHINGTON STATE TO CALIFORNIA BY SPRING 2014, REGISTRATION IN CALIFORNIA WAS REQUESTED IN MAY 2015. CALIFORNIA STATED THAT TOO MUCH TIME HAD PASSED AND A PENALTY WAS ISSUED. | Final | $45K |