Brochure Supplement for Bleckley Dobbs March 19, 2015

Transcription

1 Lucien, Stirling & Gray Advisory Group, Inc Guadalupe St. Austin, TX (512) Brochure Supplement for Bleckley Dobbs March 19, 2015 This brochure supplement provides information about Bleckley Dobbs that supplements the Lucien, Stirling & Gray Advisory Group, Inc. brochure. You should have received a copy of that brochure. Please contact Lucien, Stirling & Gray if you did not receive the brochure or if you have any questions about the contents of this supplement. Additional information about Bleckley Dobbs is available on the SEC s website at

2 Educational Background and Business Experience for Supervised Persons Bleckley Dobbs, CFP, RICP (Senior Advisor Associate) Born Bachelor s Degree in Chemical Engineering, Georgia Tech; MBA, University of Minnesota. Securities and Insurance License (2004). Currently on the Board of Directors for the Financial Planning Association of Austin. Also currently Registered Representative, Lucien, Stirling & Gray Financial Corporation. Designations The following information is provided by the Certified Financial Planner Board of Standards, Inc: CFP - According to the Certified Financial Planner Board of Standards, Inc. CFP certificants are individuals who have met CFP Board s education (Bachelor s Degree), examination, and experience (3 years in practice) requirements, have agreed to adhere to high standards of ethical conduct and who complete CFP Board s biennial certification requirements, including continuing education, to use the certification marks CFP, CERTIFIED FINANCIAL PLANNER, and. A CFP practitioner is a financial professional authorized to use the CFP certification marks who has identified himself or herself to CFP Board as being actively engaged in providing financial planning services. All CFP certificants have voluntarily submitted to the regulatory authority of CFP Board. Related Businesses An Advisor Associate is a person who is associated with Lucien, Stirling & Gray Advisory Group, Inc. Advisor Associates may also be Registered Representatives of Lucien, Stirling & Gray Financial Corporation, a related company. Lucien, Stirling & Gray Advisory Group, Inc. is under common control with Lucien, Stirling & Gray Financial Corporation, a registered Broker/Dealer and Insurance Agency. Clients of Lucien, Stirling & Gray Advisory Group Inc. who wish to have transactions executed by or through Lucien, Stirling & Gray Financial Corporation, or who wish to purchase insurance through Lucien, Stirling & Gray Financial Corporation, may do so provided that they have applied to Lucien, Stirling & Gray Financial Corporation for an account and stated in writing that they have been provided with a disclosure of the common control of the two companies and of the fees charged by each. In no event will the Investment Committee or any advisor from Lucien, Stirling & Gray Advisory Group, Inc. exercise discretion in any client account with respect to the dealer executing transactions. Lucien, Stirling & Gray Advisory Group, Inc. does not collect commissions on assets under management. Supervision Accounts are reviewed by the assigned advisor-representative working in conjunction with the assigned supervisor-officer. Supervisory accounts will be reviewed with a frequency commensurate with the investor s profile, objectives, and holdings. Advisors must review accounts at least quarterly, and must meet with their assigned supervisor no less often than annually for the purpose of review of all accounts. Questions about the supervision of associates may be directed to Thomas G. Twombly (President) or to Walter L. Wilson, III, (Exec.Vice President) at (512)

3 Lucien, Stirling & Gray Advisory Group, Inc Guadalupe St. Austin, TX (512) Brochure Supplement for Cass Grange March 19, 2015 This brochure supplement provides information about Cass Grange that supplements the Lucien, Stirling & Gray Advisory Group, Inc. brochure. You should have received a copy of that brochure. Please contact Lucien, Stirling & Gray if you did not receive the brochure or if you have any questions about the contents of this supplement. Additional information about Cass Grange is available on the SEC s website at

4 Educational Background and Business Experience for Supervised Persons Cass Grange (Senior Advisor Associate, Member of the Investment Policy Committee) Born BJournalism, University of Nebraska; Master of Business Communications, University of St. Thomas. Securities and Insurance License (1995). Currently Registered Representative, Lucien, Stirling & Gray Financial Corporation. Related Businesses An Advisor Associate is a person who is associated with Lucien, Stirling & Gray Advisory Group, Inc. Advisor Associates may also be Registered Representatives of Lucien, Stirling & Gray Financial Corporation, a related company. Lucien, Stirling & Gray Advisory Group, Inc. is under common control with Lucien, Stirling & Gray Financial Corporation, a registered Broker/Dealer and Insurance Agency. Clients of Lucien, Stirling & Gray Advisory Group Inc. who wish to have transactions executed by or through Lucien, Stirling & Gray Financial Corporation, or who wish to purchase insurance through Lucien, Stirling & Gray Financial Corporation, may do so provided that they have applied to Lucien, Stirling & Gray Financial Corporation for an account and stated in writing that they have been provided with a disclosure of the common control of the two companies and of the fees charged by each. In no event will the Investment Committee or any advisor from Lucien, Stirling & Gray Advisory Group, Inc. exercise discretion in any client account with respect to the dealer executing transactions. Lucien, Stirling & Gray Advisory Group, Inc. does not collect commissions on assets under management. Supervision Accounts are reviewed by the assigned advisor-representative working in conjunction with the assigned supervisor-officer. Supervisory accounts will be reviewed with a frequency commensurate with the investor s profile, objectives, and holdings. Advisors must review accounts at least quarterly, and must meet with their assigned supervisor no less often than annually for the purpose of review of all accounts. Questions about the supervision of associates may be directed to Thomas G. Twombly (President) or to Walter L. Wilson, III, (Exec.Vice President) at (512)

5 Lucien, Stirling & Gray Advisory Group, Inc Guadalupe St. Austin, TX (512) Brochure Supplement for Megan Poore March 19, 2015 This brochure supplement provides information about Megan Poore that supplements the Lucien, Stirling & Gray Advisory Group, Inc. brochure. You should have received a copy of that brochure. Please contact Lucien, Stirling & Gray if you did not receive the brochure or if you have any questions about the contents of this supplement. Additional information about Megan Poore is available on the SEC s website at

6 Educational Background and Business Experience for Supervised Persons Megan Poore (Senior Advisor Associate) Born Attended Texas A&M University. Securities and Insurance License (2003). Currently Registered Representative, Lucien, Stirling & Gray Financial Corporation. Related Businesses An Advisor Associate is a person who is associated with Lucien, Stirling & Gray Advisory Group, Inc. Advisor Associates may also be Registered Representatives of Lucien, Stirling & Gray Financial Corporation, a related company. Lucien, Stirling & Gray Advisory Group, Inc. is under common control with Lucien, Stirling & Gray Financial Corporation, a registered Broker/Dealer and Insurance Agency. Clients of Lucien, Stirling & Gray Advisory Group Inc. who wish to have transactions executed by or through Lucien, Stirling & Gray Financial Corporation, or who wish to purchase insurance through Lucien, Stirling & Gray Financial Corporation, may do so provided that they have applied to Lucien, Stirling & Gray Financial Corporation for an account and stated in writing that they have been provided with a disclosure of the common control of the two companies and of the fees charged by each. In no event will the Investment Committee or any advisor from Lucien, Stirling & Gray Advisory Group, Inc. exercise discretion in any client account with respect to the dealer executing transactions. Lucien, Stirling & Gray Advisory Group, Inc. does not collect commissions on assets under management. Supervision Accounts are reviewed by the assigned advisor-representative working in conjunction with the assigned supervisor-officer. Supervisory accounts will be reviewed with a frequency commensurate with the investor s profile, objectives, and holdings. Advisors must review accounts at least quarterly, and must meet with their assigned supervisor no less often than annually for the purpose of review of all accounts. Questions about the supervision of associates may be directed to Thomas G. Twombly (President) or to Walter L. Wilson, III, (Exec.Vice President) at (512)

7 Lucien, Stirling & Gray Advisory Group, Inc Guadalupe St. Austin, TX (512) Brochure Supplement for Glenda Summers March 19, 2015 This brochure supplement provides information about Glenda Summers that supplements the Lucien, Stirling & Gray Advisory Group, Inc. brochure. You should have received a copy of that brochure. Please contact Lucien, Stirling & Gray if you did not receive the brochure or if you have any questions about the contents of this supplement. Additional information about Glenda Summers is available on the SEC s website at

8 Educational Background and Business Experience for Supervised Persons Glenda Summers, CFP (Senior Advisor Associate) Born Bachelor of Science, Texas A & I University; Master of Education, Pan American University. Securities and Insurance License (1987); a member of the Financial Planning Association (FPA). Currently Registered Representative, Lucien, Stirling & Gray Financial Corporation. Designations The following information is provided by the Certified Financial Planner Board of Standards, Inc: CFP - According to the Certified Financial Planner Board of Standards, Inc. CFP certificants are individuals who have met CFP Board s education (Bachelor s Degree), examination, and experience (3 years in practice) requirements, have agreed to adhere to high standards of ethical conduct and who complete CFP Board s biennial certification requirements, including continuing education, to use the certification marks CFP, CERTIFIED FINANCIAL PLANNER, and. A CFP practitioner is a financial professional authorized to use the CFP certification marks who has identified himself or herself to CFP Board as being actively engaged in providing financial planning services. All CFP certificants have voluntarily submitted to the regulatory authority of CFP Board. Related Businesses An Advisor Associate is a person who is associated with Lucien, Stirling & Gray Advisory Group, Inc. Advisor Associates may also be Registered Representatives of Lucien, Stirling & Gray Financial Corporation, a related company. Lucien, Stirling & Gray Advisory Group, Inc. is under common control with Lucien, Stirling & Gray Financial Corporation, a registered Broker/Dealer and Insurance Agency. Clients of Lucien, Stirling & Gray Advisory Group Inc. who wish to have transactions executed by or through Lucien, Stirling & Gray Financial Corporation, or who wish to purchase insurance through Lucien, Stirling & Gray Financial Corporation, may do so provided that they have applied to Lucien, Stirling & Gray Financial Corporation for an account and stated in writing that they have been provided with a disclosure of the common control of the two companies and of the fees charged by each. In no event will the Investment Committee or any advisor from Lucien, Stirling & Gray Advisory Group, Inc. exercise discretion in any client account with respect to the dealer executing transactions. Lucien, Stirling & Gray Advisory Group, Inc. does not collect commissions on assets under management. Supervision Accounts are reviewed by the assigned advisor-representative working in conjunction with the assigned supervisor-officer. Supervisory accounts will be reviewed with a frequency commensurate with the investor s profile, objectives, and holdings. Advisors must review accounts at least quarterly, and must meet with their assigned supervisor no less often than annually for the purpose of review of all accounts. Questions about the supervision of associates may be directed to Thomas G. Twombly (President) or to Walter L. Wilson, III, (Exec.Vice President) at (512)

9 Lucien, Stirling & Gray Advisory Group, Inc Guadalupe St. Austin, TX (512) Brochure Supplement for Thomas G. Twombly March 19, 2015 This brochure supplement provides information about Thomas G. Twombly that supplements the Lucien, Stirling & Gray Advisory Group, Inc. brochure. You should have received a copy of that brochure. Please contact Lucien, Stirling & Gray if you did not receive the brochure or if you have any questions about the contents of this supplement. Additional information about Thomas G. Twombly is available on the SEC s website at

10 Educational Background and Business Experience for Supervised Persons Thomas G. Twombly (President, Member of the Investment Policy Committee) Born BA, Amherst College. Securities and Insurance License (1984), Principal (1987). Currently President, Lucien, Stirling & Gray Financial Corporation. Related Businesses An Advisor Associate is a person who is associated with Lucien, Stirling & Gray Advisory Group, Inc. Advisor Associates may also be Registered Representatives of Lucien, Stirling & Gray Financial Corporation, a related company. Lucien, Stirling & Gray Advisory Group, Inc. is under common control with Lucien, Stirling & Gray Financial Corporation, a registered Broker/Dealer and Insurance Agency. Clients of Lucien, Stirling & Gray Advisory Group Inc. who wish to have transactions executed by or through Lucien, Stirling & Gray Financial Corporation, or who wish to purchase insurance through Lucien, Stirling & Gray Financial Corporation, may do so provided that they have applied to Lucien, Stirling & Gray Financial Corporation for an account and stated in writing that they have been provided with a disclosure of the common control of the two companies and of the fees charged by each. In no event will the Investment Committee or any advisor from Lucien, Stirling & Gray Advisory Group, Inc. exercise discretion in any client account with respect to the dealer executing transactions. Lucien, Stirling & Gray Advisory Group, Inc. does not collect commissions on assets under management. Supervision Accounts are reviewed by the assigned advisor-representative working in conjunction with the assigned supervisor-officer. Supervisory accounts will be reviewed with a frequency commensurate with the investor s profile, objectives, and holdings. Advisors must review accounts at least quarterly, and must meet with their assigned supervisor no less often than annually for the purpose of review of all accounts. Questions about the supervision of associates may be directed to Thomas G. Twombly (President) or to Walter L. Wilson, III, (Exec.Vice President) at (512)

11 Lucien, Stirling & Gray Advisory Group, Inc Guadalupe St. Austin, TX (512) Brochure Supplement for Chris Vasquez March 19, 2015 This brochure supplement provides information about Chris Vasquez that supplements the Lucien, Stirling & Gray Advisory Group, Inc. brochure. You should have received a copy of that brochure. Please contact Lucien, Stirling & Gray if you did not receive the brochure or if you have any questions about the contents of this supplement. Additional information about Chris Vasquez is available on the SEC s website at

12 Educational Background and Business Experience for Supervised Persons Chris Vasquez (Financial Services Professional) Born BBA, University of Houston. Insurance License (2011), Securities License (2012). Currently Registered Representative, Lucien, Stirling & Gray Financial Corporation. Related Businesses An Advisor Associate is a person who is associated with Lucien, Stirling & Gray Advisory Group, Inc. Advisor Associates may also be Registered Representatives of Lucien, Stirling & Gray Financial Corporation, a related company. Lucien, Stirling & Gray Advisory Group, Inc. is under common control with Lucien, Stirling & Gray Financial Corporation, a registered Broker/Dealer and Insurance Agency. Clients of Lucien, Stirling & Gray Advisory Group Inc. who wish to have transactions executed by or through Lucien, Stirling & Gray Financial Corporation, or who wish to purchase insurance through Lucien, Stirling & Gray Financial Corporation, may do so provided that they have applied to Lucien, Stirling & Gray Financial Corporation for an account and stated in writing that they have been provided with a disclosure of the common control of the two companies and of the fees charged by each. In no event will the Investment Committee or any advisor from Lucien, Stirling & Gray Advisory Group, Inc. exercise discretion in any client account with respect to the dealer executing transactions. Lucien, Stirling & Gray Advisory Group, Inc. does not collect commissions on assets under management. Supervision Accounts are reviewed by the assigned advisor-representative working in conjunction with the assigned supervisor-officer. Supervisory accounts will be reviewed with a frequency commensurate with the investor s profile, objectives, and holdings. Advisors must review accounts at least quarterly, and must meet with their assigned supervisor no less often than annually for the purpose of review of all accounts. Questions about the supervision of associates may be directed to Thomas G. Twombly (President) or to Walter L. Wilson, III, (Exec.Vice President) at (512)

13 Lucien, Stirling & Gray Advisory Group, Inc Guadalupe St. Austin, TX (512) Brochure Supplement for Mark A. Ward March 19, 2015 This brochure supplement provides information about Mark A. Ward that supplements the Lucien, Stirling & Gray Advisory Group, Inc. brochure. You should have received a copy of that brochure. Please contact Lucien, Stirling & Gray if you did not receive the brochure or if you have any questions about the contents of this supplement. Additional information about Mark A. Ward is available on the SEC s website at

14 Educational Background and Business Experience for Supervised Persons Mark A. Ward, CFP, ChFC (Vice President, Chairman of the Investment Policy Committee) Born BA University of Texas. Securities License (1999), Insurance License (2000), Principal (2005). Currently Vice President, Lucien, Stirling & Gray Financial Corporation. Designations The following information is provided by the Certified Financial Planner Board of Standards, Inc: CFP - According to the Certified Financial Planner Board of Standards, Inc. CFP certificants are individuals who have met CFP Board s education (Bachelor s Degree), examination, and experience (3 years in practice) requirements, have agreed to adhere to high standards of ethical conduct and who complete CFP Board s biennial certification requirements, including continuing education, to use the certification marks CFP, CERTIFIED FINANCIAL PLANNER, and. A CFP practitioner is a financial professional authorized to use the CFP certification marks who has identified himself or herself to CFP Board as being actively engaged in providing financial planning services. All CFP certificants have voluntarily submitted to the regulatory authority of CFP Board. The following information is provided by The American College: ChFC - According to The American College, the ChFC certificant has completed the most extensive educational program required for any financial services credential. Each ChFC has taken eight or more college-level courses on all aspects of financial planning from The American College, a non-profit educator with the highest level of academic accreditation. The average study time for the program is over 400 hours, and each ChFC must also complete a minimum of 30 hours of continuing education every two years and must meet extensive experience requirements to ensure that you get the professional financial advice you need. Related Businesses An Advisor Associate is a person who is associated with Lucien, Stirling & Gray Advisory Group, Inc. Advisor Associates may also be Registered Representatives of Lucien, Stirling & Gray Financial Corporation, a related company. Lucien, Stirling & Gray Advisory Group, Inc. is under common control with Lucien, Stirling & Gray Financial Corporation, a registered Broker/Dealer and Insurance Agency. Clients of Lucien, Stirling & Gray Advisory Group Inc. who wish to have transactions executed by or through Lucien, Stirling & Gray Financial Corporation, or who wish to purchase insurance through Lucien, Stirling & Gray Financial Corporation, may do so provided that they have applied to Lucien, Stirling & Gray Financial Corporation for an account and stated in writing that they have been provided with a disclosure of the common control of the two companies and of the fees charged by each. In no event will the Investment Committee or any advisor from Lucien, Stirling & Gray Advisory Group, Inc. exercise discretion in any client account with respect to the dealer executing transactions. Lucien, Stirling & Gray Advisory Group, Inc. does not collect commissions on assets under management. Supervision Accounts are reviewed by the assigned advisor-representative working in conjunction with the assigned supervisorofficer. Supervisory accounts will be reviewed with a frequency commensurate with the investor s profile, objectives, and holdings. Advisors must review accounts at least quarterly, and must meet with their assigned supervisor no less often than annually for the purpose of review of all accounts. Questions about the supervision of associates may be directed to Thomas G. Twombly (President) or to Walter L. Wilson, III, (Exec.Vice President) at (512) Other Business Activities A-Ward Assets, LLC; non-investment related; business address: 2125 Williston Loop, Austin, TX 78748; mailing address: P. O. Box 489; Manchaca, TX 78652; owner/president; 11/01/10; one or two hours on weekends/ not during trading hours; use personal money to buy residential real estate properties and rent them for profit when possible, check mail for rent checks and comply with any reasonable renter s requests when appropriate.

15 Lucien, Stirling & Gray Advisory Group, Inc Guadalupe St. Austin, TX (512) Brochure Supplement for Walter L. Wilson, III March 19, 2015 This brochure supplement provides information about Walter L. Wilson, III that supplements the Lucien, Stirling & Gray Advisory Group, Inc. brochure. You should have received a copy of that brochure. Please contact Lucien, Stirling & Gray if you did not receive the brochure or if you have any questions about the contents of this supplement. Additional information about Walter L. Wilson, III is available on the SEC s website at

16 Educational Background and Business Experience for Supervised Persons Walter L. Wilson, III (Exec. V.P., Operations, Member of the Investment Policy Committee) Born B.Mus. University of Alabama; M.Mus. University of Rochester-Eastman. Securities and Insurance License (1985), Principal (1987). Currently Exec. V.P., Operations, Lucien, Stirling & Gray Financial Corporation. Related Businesses An Advisor Associate is a person who is associated with Lucien, Stirling & Gray Advisory Group, Inc. Advisor Associates may also be Registered Representatives of Lucien, Stirling & Gray Financial Corporation, a related company. Lucien, Stirling & Gray Advisory Group, Inc. is under common control with Lucien, Stirling & Gray Financial Corporation, a registered Broker/Dealer and Insurance Agency. Clients of Lucien, Stirling & Gray Advisory Group Inc. who wish to have transactions executed by or through Lucien, Stirling & Gray Financial Corporation, or who wish to purchase insurance through Lucien, Stirling & Gray Financial Corporation, may do so provided that they have applied to Lucien, Stirling & Gray Financial Corporation for an account and stated in writing that they have been provided with a disclosure of the common control of the two companies and of the fees charged by each. In no event will the Investment Committee or any advisor from Lucien, Stirling & Gray Advisory Group, Inc. exercise discretion in any client account with respect to the dealer executing transactions. Lucien, Stirling & Gray Advisory Group, Inc. does not collect commissions on assets under management. Supervision Accounts are reviewed by the assigned advisor-representative working in conjunction with the assigned supervisor-officer. Supervisory accounts will be reviewed with a frequency commensurate with the investor s profile, objectives, and holdings. Advisors must review accounts at least quarterly, and must meet with their assigned supervisor no less often than annually for the purpose of review of all accounts. Questions about the supervision of associates may be directed to Thomas G. Twombly (President) or to Walter L. Wilson, III, (Exec.Vice President) at (512)