Thomas F. Lydon

GLOBAL TRENDS INVESTMENTS

Huntington Beach, CA

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CRD#: 1099080

Professional summary

Thomas Francis Lydon JR, who also goes by Thomas Francis Lydon, is a registered financial advisor currently at GLOBAL TRENDS INVESTMENTS located in Huntington Beach, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Thomas has worked at 2 firms and has passed the Series 65, Series 63, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Francis Lydon

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

U.S. GLOBAL INVESTORS, INC Not investment related 7900 CALLAGHAN ROAD, SAN ANTONIO, TX 78229 REGISTERED INVESTMENT ADVISOR OFFERING SERVICES TO U.S. GLOBAL INVESTORS FUNDS DIRECTOR-CORPORATE BOARD Started April 1997 2 hours/month 0 HOURS DURING TRADING HOURS MEMBER OF BOARD OF DIRECTORS GUGGENHEIM INVESTMENTS MUTUAL FUNDS Not investment related 40 E. 52ND STREET, 16TH FLOOR, NEW YORK, NY 10022 MANAGEMENT INVESTMENT COMPANY TRUSTEE Started March 2003 3 hours/month 0 hours during trading hours MEMBER OF BOARD OF TRUSTEES NEOS Investments LLC Investment related 13 Riverside Ave, Westport, CT 06880 ETF Issuer Title or relationship: N/A Started December 2024 10-20 hours/month 0 hours during trading hours webcast and podcast host, marketing consulting The 2023 ETF Series Trust c/o Foreside Management Services, LLC Not investment related Three Canal Plaza, Suite 100, Portland, ME 04101 ETF Issuer Trust Independent Trustee Started January 2023 3 hours/month 0 hours during trading hours Independent Trustee

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Francis Lydon JR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 3, 1996 - Present

GLOBAL TRENDS INVESTMENTS

RIA

CRD#: 108854

Huntington Beach, CA

Past

April 28, 1983 - April 23, 1984

FIDELITY DISTRIBUTORS CORPORATION

CRD#: 6848

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(7/3/1996)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/19/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/28/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 2/18/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/12/1993

General Securities Principal Examination

Current Firm

GLOBAL TRENDS INVESTMENTS

GLOBAL TRENDS INVESTMENTS | LYDON ASSET MANAGEMENT INC

CRD#: 108854 / SEC#: 801-56932

RIA

Registered Investment Advisory firm - (9/12/2012 Terminated)

California

Registered Investment Advisory firm - (8/2/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Huntington Beach, CA

Mailing Address

Phone number

(714) 813-7300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	76
AUM (Assets Under Management)	$ 47,225,917

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas F. Lydon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Francis Lydon JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL TRENDS INVESTMENTS

FIDELITY DISTRIBUTORS CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 5/19/1993

Series 63

Date: 1/28/1988

Series 6

Date: 2/18/1983

Series 24

Date: 8/12/1993

Current Firm

GLOBAL TRENDS INVESTMENTS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GLOBAL TRENDS INVESTMENTS

TRUST BUT VERIFY

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