# J.J.B. HILLIARD, W.L. LYONS, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC of LOUISVILLE, KY is an SEC-registered investment adviser.

## Registration

- CRD: 453
- Type: SEC-registered investment adviser
- SEC file number: 801-23120
- Location: 500 WEST JEFFERSON STREET, LOUISVILLE, KY, 40202
- Phone: 502-588-8400
- Latest filing: 2019-04-12
- Regulatory AUM: $9.3B
- Discretionary AUM: $4.9B
- Non-discretionary AUM: $4.4B
- Clients: 1,025
- Accounts: 31,198

## Officers, owners & control persons (43)

_Showing 25 of 43 people._

| Name | Role | Location |
| --- | --- | --- |
| [RINGO WESLEY LEE](https://search.stillhousedata.com/person/730624) | CHIEF COMPLIANCE OFFICER & CROP; SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & CROP | — |
| [PURCELL PAUL EDWARD](https://search.stillhousedata.com/person/733263) | DIRECTOR | — |
| [SCHROEDER MICHAEL JOHN](https://search.stillhousedata.com/person/733270) | DIRECTOR | — |
| [BOOTH STEVEN GREGORY](https://search.stillhousedata.com/person/733275) | DIRECTOR | — |
| [WAGNER KENNETH LEE](https://search.stillhousedata.com/person/735072) | CHIEF AML OFFICER; CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT; COMPLIANCE DIRECTOR, CROP (+1 more) | — |
| [HOLIK JEFFREY STEPHEN](https://search.stillhousedata.com/person/743788) | CHIEF COUNSEL | — |
| [HARDIN MATTHEW STEPHEN](https://search.stillhousedata.com/person/755700) | GENERAL COUNSEL | — |
| [ALLEN JAMES REID](https://search.stillhousedata.com/person/758115) | BOARD DIRECTOR, CHAIRMAN, CEO, PRESIDENT; CHAIRMAN OF THE BOARD, CEO; CHAIRMAN OF THE BOARD, CEO, PRESIDENT (+3 more) | — |
| [MOORMAN DENNIS GLENN](https://search.stillhousedata.com/person/758116) | SENIOR REGISTERED OPTIONS PRINCIPAL | — |
| [MORETTI PAUL JAMES](https://search.stillhousedata.com/person/758117) | CFO; EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER | — |
| [DEMCHAK WILLIAM STANTON](https://search.stillhousedata.com/person/758118) | BOARD DIRECTOR; DIRECTOR | — |
| [ROGERS JAMES MICHAEL](https://search.stillhousedata.com/person/758119) | BOARD DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT; CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT, BOARD DIRECTOR; COO, EXECUTIVE VICE PRESIDENT, DIRECTOR (+1 more) | — |
| [GULLEY JOAN L](https://search.stillhousedata.com/person/758120) | BOARD DIRECTOR; DIRECTOR | — |
| [GUYAUX JOSEPH CLINTON](https://search.stillhousedata.com/person/758121) | BOARD DIRECTOR; DIRECTOR | — |
| [MILLER CARMELLA RASI](https://search.stillhousedata.com/person/758122) | BOARD DIRECTOR, CHIEF ADMINISTRATIVE OFFICER, EXECUTIVE VICE PRESIDENT; CHIEF RISK OFFICER, EXECUTIVE VICE PRESIDENT; DIRECTOR, CHIEF ADMINISTRATIVE OFFICER, EXECUTIVE VICE PRESIDENT (+1 more) | — |
| [BUGH JOHN RANDALL](https://search.stillhousedata.com/person/758123) | BOARD DIRECTOR, EXECUTIVE VICE PRESIDENT, DIRECTOR OF FINANCIAL SERVICES; DIRECTOR, EXECUTIVE VICE PRESIDENT; DIRECTOR OF BRANCH ADMINISTRATION (+2 more) | — |
| [ATKINS MEREDITH IRVIN](https://search.stillhousedata.com/person/758124) | CHIEF AML OFFICER | — |
| [KAPLAN ELIZABETH C](https://search.stillhousedata.com/person/758125) | CHIEF COMPLIANCE OFFICE (INVESTMENT ADVISORY ONLY); CHIEF COMPLIANCE OFFICER - ADVISORY; CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY ONLY) (+2 more) | — |
| [METZGER DARRYL KEITH](https://search.stillhousedata.com/person/758126) | BOARD DIRECTOR, EXECUTIVE VICE PRESIDENT, DIRECTOR OF PRIVATE CLIENT GROUP; DIRECTOR, EXECUTIVE VICE PRESIDENT; DIRECTOR OF BRANCH AND MARKETING ADMINISTRATION (+1 more) | — |
| [DOLL ROBERT DONALD](https://search.stillhousedata.com/person/758127) | SENIOR VICE PRESIDENT, DIRECTOR OF OPERATIONS | — |
| [GRIMLEY CHARLES MORRISON](https://search.stillhousedata.com/person/758128) | COMPTROLLER; DIRECTOR, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER; EXECUTIVE VICE PRESIDENT-CHIEF FINANCIAL OFFICER (+1 more) | — |
| [ASFAHL DONALD LEE](https://search.stillhousedata.com/person/758129) | EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT, DIRECTOR HILLIARD LYONS ASSET MANAGEMENT | — |
| [DIMARCO GERALD PAUL](https://search.stillhousedata.com/person/760741) | CHIEF COMPLIANCE OFFICER; CROP | — |
| [RABENSTINE JAMES JAY](https://search.stillhousedata.com/person/761762) | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT; CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT, ASSISTANT SECRETARY (+1 more) | — |
| [HARRELD MICHAEL NEAL](https://search.stillhousedata.com/person/762545) | DIRECTOR | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/453/brochure
- Similar advisers: https://search.stillhousedata.com/firm/453/similar
- Related entities: https://search.stillhousedata.com/firm/453/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/453

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.