Stephen J. 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.
Stephen John Lyons JR., who also goes by Stephen John Lyons Jr, Stephen John Lyons, Stephen Lyons, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1985. Stephen had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2020 - February 8, 2021
CETERA INVESTMENT ADVISERS LLC
January 6, 2020 - February 8, 2021
CETERA INVESTMENT SERVICES LLC
March 22, 2013 - November 4, 2019
HSBC SECURITIES (USA) INC.
March 22, 2013 - November 4, 2019
HSBC SECURITIES (USA) INC.
March 8, 2011 - October 16, 2012
HARRISDIRECT LLC
March 8, 2011 - October 16, 2012
E*TRADE SECURITIES LLC
June 7, 2010 - March 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 14, 2010 - March 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 28, 1992 - February 4, 2009
BNY MELLON SECURITIES CORPORATION
November 30, 1990 - September 23, 1992
GRAYSON FINANCIAL LLC
January 11, 1990 - November 14, 1990
METROPOLITAN LIFE INSURANCE COMPANY
January 11, 1990 - November 14, 1990
MSI FINANCIAL SERVICES, INC.
April 25, 1988 - July 7, 1989
GLOBAL CAPITAL SECURITIES, INC.
April 23, 1985 - June 6, 1988
INDIVIDUAL'S SECURITIES LTD.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
