LANARK FINANCIAL, INC. of BIRMINGHAM, AL is an SEC-registered investment adviser (CRD 17870). Regulatory assets under management: $1.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Doug James Elder | SVP - SALES MANAGER | — |
| Pamela Sue Conway | VICE PRESIDENT; VICE PRESIDENT, OPERATIONS | — |
| Frank Benner Falkenburg | LIMITED PARTNER; MANAGING DIRECTOR; SHAREHOLDER | — |
| John Robert Jr Doody | CEO; PRESIDENT AND CEO | — |
| Harold Blaine Miller | CHIEF COMPLIANCE OFFICER; VP, CHIEF COMPLIANCE OFFICER | — |
| Samuel Douglas Ransom | CHIEF FINANCIAL OFFICER | — |
| Peyton Davis Falkenburg | PRESIDENT; SHAREHOLDER | — |
| Pamela Kohser Conway | VICE PRESIDENT | — |
| Bradford Lee Phelan | GENERAL/LIMITED PARTNER; PRESIDENT AND CEO | — |
| Jeffery Scott Wilkins | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| HOLCOMB JOHN HUDSON III | DIRECTOR | — |
| MATTHEWS WILLIAM ELLIOTT | DIRECTOR | — |
| KAHN STEVEN RICHARD | SENIOR VICE PRESIDENT -OPERATIONS | — |
| PHELAN BRADFORD LEE | GENERAL/LIMITED PARTNER; MANAGING DIRECTOR; PRESIDENT AND CEO | — |
| CONWAY PAMELA KOHSER | VICE PRESIDENT | — |
| WILKINS JEFFERY SCOTT | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| MORRISON CYNTHIA DENISE | ASSISTANT VICE PRESIDENT & DIRECTOR OF COMPLIANCE | — |
| NICHOL VICTOR EUGENE JR | DIRECTOR | — |
| FALKENBURG FRANK BENNER | LIMITED PARTNER; MANAGING DIRECTOR | — |
| ELDER DOUG JAMES | SVP - SALES MANAGER | — |
| MCWANE JAMES RANSOM | INDIRECT SHAREHOLDER | — |
| ELMORE CYNTHIA DENISE | ASSISTANT VICE PRESIDENT & COMPLIANCE OFFICER; ASSISTANT VICE PRESIDENT & DIRECTOR OF COMPLIANCE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-03-11 | regulatory | INADEQUATE DISCLOSURES CONCERNING MUTUAL FUND INVESTMENTS | Final | — |
| 2006-02-23 | regulatory | IT WAS ALEDGED THAT NBC SECURITIES FAILED TO PROPERLY SUPERVISE ACTIVITIES OF ADVISORY AFFILIATE IN RELATION TO THE HANDLING OF REVOCABLE TRUST ACCOUNTS FOR A DECEASED INDIVIDUAL. | Final | $15K |