Michelle A. Lyon
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.
Michelle Anne Lyon, who also goes by Missy Lyon, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 1984. Michelle had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2014 - June 1, 2017
PURSHE KAPLAN STERLING INVESTMENTS
July 16, 2014 - June 2, 2017
OLD PORT ADVISORS
December 18, 2002 - June 25, 2013
CHARLES SCHWAB & CO., INC.
June 1, 1992 - June 25, 2013
CHARLES SCHWAB & CO., INC.
December 7, 1991 - April 27, 1992
LONDON PACIFIC SECURITIES, INC.
March 24, 1986 - May 16, 1991
CHARLES SCHWAB & CO., INC.
November 8, 1984 - December 15, 1987
INTERCAL SECURITIES CO.
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
Series 8
Date: 9/12/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
