"THE PILOT'S ADVISOR," LLC is an SEC-registered investment adviser (CRD 160241).
Compensation: Other.
Clients served: Charities.
| Name | Role | Location |
|---|---|---|
| Ryan Joseph Fleming | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-12-18 | regulatory | THE FIRM WAS CONDITIONALLY REGISTERED IN THE STATE OF TEXAS AND FAILED TO GET FULLY REGISTERED IN A TIMELY MANNER ONCE THE FIRM REACHED 5 TEXAS STATE CLIENTS. THE STATE OF TEXAS HAS NOW FULLY REGISTERED THE FIRM, BUT WAS ISSUED AN ADMINISTRATIVE REPRIMAND AND AGREED TO A PAID FINE OF $8500 IN 2024. | Final | $9K |
| — | regulatory | — | — | — |