RL
Robert D. Lyman
SEQUOIA WEALTH MANAGEMENT
Barrington, IL 60010
Some features on this profile are disabled
CRD#: 1184978
RL
Professional summary
Robert Dennis Lyman JR, CFP®, who also goes by Robert Dennis Lyman, is a registered financial advisor currently at SEQUOIA WEALTH MANAGEMENT, LLC located in Barrington, Illinois and LPL FINANCIAL LLC located in Barrington, Illinois.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Robert has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Dennis Lyman
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.
1. 04/02/2014 - FRIENDS OF SHALOM FOR UGANDA - NOT INV REL - COMMUNITY, CIVIC AND CHARITABLE BOARD - 1% OF TIME SPENT - MEMBER: BOARD OF DIRECTORS 2. 3/13/2019 - SEQUOIA WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 10/06/14 - 120 Hours Per Month/120 Hours During Securities Trading - I provide investment advisory services through SEQUOIA WEALTH MANAGEMENT, an independent investment advisor firm. I started this business activity in 10/2014. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 09/25/2019 - Sequoia Financial Planning - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:09/19/2019 - 40 hrs/mo - 40 hrs during trading. 4. 3/17/2020 - SEQUOIA FINANCIAL NETWORK - Investment Related - At Reported Business Location(s) - Insurance Agency - Started 05/01/2018 - 10 Hours Per Month During Securities Trading - SEQUOIA FINANCIAL NETWORK IS A BROKERAGE AGENCY FOR LIFE, DISABILITY, LONG TERM CARE AND FIXED ANNUITY PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Dennis Lyman 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®
CFP®
Start date: 1991
Experience
Current
October 6, 2014 - Present
SEQUOIA WEALTH MANAGEMENT, LLC
Office #1: 200 Applebee St Suite 208, Barrington, IL 60010RIA
CRD#: 170543
Barrington, IL
Current
September 8, 2009 - Present
LPL FINANCIAL LLC
Office #1: 200 Applebee St Ste 208, Barrington, IL 60010RIA
BD
CRD#: 6413
Barrington, IL
Past
September 8, 2009 - October 6, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
HANOVER PARK, IL
Past
May 4, 2004 - October 13, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
RIA
CRD#: 104790
HOFFMAN ESTATES, IL
Past
April 15, 2004 - September 8, 2009
ASSOCIATED SECURITIES CORP.
RIA
CRD#: 12969
NAPERVILLE, IL
Past
April 15, 2004 - September 8, 2009
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
EVANSTON, IL
Past
January 4, 2000 - March 24, 2004
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
SCHAUMBURG, IL
Past
February 15, 1996 - March 24, 2004
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
February 14, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
September 9, 1983 - January 22, 1996
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SW
SEQUOIA WEALTH MANAGEMENT, LLC
ADVANTAGE FINANCIAL SERVICES GROUP | SEQUOIA WEALTH MANAGEMENT, LLC | SEQUOIA WEALTH MANAGEMENT | SEQUOIA FINANCIAL PLANNING | REGENCY WEALTH MANAGEMENT | PLANSMART FINANCIAL SERVICES | PEGASUS WEALTH STRATEGIES | ODE FINANCIAL SERVICES | MOONEY LYONS FINANCIAL SERVICES | MOONEY LYONS | JPV FINANCIAL | JMC WEALTH MANAGEMENT | IRONWOOD FAMILY WEALTH ADVISORS | DEB FINANCIAL | CPM FINANCIAL SERVICES | ANDERSON INVESTMENT CONSULTING & SERVICES | AMBASSADOR CONSULTING AND WEALTH MANAGEMENT
CRD#: 170543 / SEC#: 801-80362
RIA
Registered Investment Advisory firm - (10/1/2014 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/3/2013)
RR
Alaska(10/13/2014)
RR
Arizona(10/26/2010)
RR
Arkansas(6/13/2025)
RR
California(9/8/2009)
RR
Colorado(9/8/2009)
RR
Connecticut(1/7/2014)
RR
Delaware(3/6/2015)
RR
District of Columbia(8/26/2021)
RR
Florida(9/9/2009)
RR
Georgia(9/8/2009)
RR
Hawaii(3/6/2020)
RR
Illinois(9/8/2009)
IAR
Illinois(10/6/2014)
RR
Indiana(9/8/2009)
RR
Iowa(9/8/2009)
RR
Kansas(9/8/2009)
RR
Kentucky(9/7/2010)
RR
Louisiana(4/13/2016)
RR
Maine(1/31/2020)
RR
Maryland(9/8/2009)
RR
Massachusetts(10/15/2012)
RR
Michigan(9/8/2009)
RR
Minnesota(9/8/2009)
RR
Mississippi(4/27/2021)
RR
Missouri(9/8/2009)
RR
Montana(9/29/2010)
RR
Nebraska(8/4/2010)
RR
Nevada(9/8/2009)
RR
New Hampshire(2/5/2020)
RR
New Jersey(9/8/2009)
RR
New Mexico(3/14/2017)
RR
New York(5/14/2014)
RR
North Carolina(9/8/2009)
RR
Ohio(9/8/2009)
RR
Oklahoma(11/21/2019)
RR
Oregon(12/11/2012)
RR
Pennsylvania(9/8/2009)
RR
Rhode Island(2/15/2016)
RR
South Carolina(9/8/2009)
RR
Tennessee(1/28/2021)
RR
Texas(9/8/2009)
IAR
Texas(3/23/2015)
RR
Virginia(9/8/2009)
RR
Washington(9/8/2009)
RR
West Virginia(12/4/2019)
RR
Wisconsin(9/8/2009)
RR
Wyoming(3/13/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SEQUOIA WEALTH MANAGEMENT, LLC
ADVANTAGE FINANCIAL SERVICES GROUP | SEQUOIA WEALTH MANAGEMENT, LLC | SEQUOIA WEALTH MANAGEMENT | SEQUOIA FINANCIAL PLANNING | REGENCY WEALTH MANAGEMENT | PLANSMART FINANCIAL SERVICES | PEGASUS WEALTH STRATEGIES | ODE FINANCIAL SERVICES | MOONEY LYONS FINANCIAL SERVICES | MOONEY LYONS | JPV FINANCIAL | JMC WEALTH MANAGEMENT | IRONWOOD FAMILY WEALTH ADVISORS | DEB FINANCIAL | CPM FINANCIAL SERVICES | ANDERSON INVESTMENT CONSULTING & SERVICES | AMBASSADOR CONSULTING AND WEALTH MANAGEMENT
CRD#: 170543 / SEC#: 801-80362
RIA
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Contact information
Main Address
200 Applebee St Suite 208, Barrington, IL 60010
Mailing Address
Phone number
(847) 310-5900
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,698 |
| AUM (Assets Under Management) | $ 514,331,206 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SEQUOIA WEALTH MANAGEMENT, LLC
CRD#: 170543Barrington, IL 60010TRUST BUT VERIFY
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