Leonard A. Lyons
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Leonard Anthony Lyons, who also goes by Tony Lyons, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1983. Leonard had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2012 - October 21, 2013
HWJ CAPITAL PARTNERS II, LLC
April 21, 2009 - May 30, 2012
BEANPOT FINANCIAL SERVICES, INC.
April 2, 2007 - October 3, 2007
FIREFLY CAPITAL, INC.
July 22, 1992 - December 21, 1992
BOSTON BAY CAPITAL, INC.
April 9, 1991 - June 12, 1991
KRUPP SECURITIES CORPORATION
May 1, 1990 - February 7, 1991
TITAN/VALUE EQUITIES GROUP, INC.
November 25, 1983 - March 8, 1988
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HWJ CAPITAL PARTNERS II, LLC
CRD#: 132135 / SEC#: , 8-66560
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARCH, JOSEPH WILLIAM | MANAGING MEMBER, CCO, CFO | 1331665 |
Disclosures
| Regulatory Event | 1 |
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.
