Carol E. Lyons

L & M WEALTH MANAGEMENT AND RETIREMENT SOLUTIONS

OKLAHOMA CITY, OK 73112

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CRD#: 1565227

Professional summary

Carol Elaine Lyons, CFP® is a registered financial advisor currently at L & M WEALTH MANAGEMENT AND RETIREMENT SOLUTIONS, LLC located in Oklahoma City, Oklahoma.

Carol is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Carol has worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) CAROL E. LYONS CFP, INC.; OWNER AND OPERATOR AS OF 11/2001; OKLAHOMA CITY, OK; NON-INVESTMENT RELATED;LESS THAN 10% OF HER TIME IN ANY GIVEN MONTH. 2) LICENSED INSURANCE AGENT; INVESTMENT RELATED; OKLAHOMA CITY, OK; 10% OF TIME DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Elaine Lyons'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^®

Certified Financial Planner

Start date: 1990

Experience

Current

November 30, 2009 - Present

L & M WEALTH MANAGEMENT AND RETIREMENT SOLUTIONS, LLC

Office #1: 2601 Nw Expressway Suite 110w, Oklahoma City, OK 73112

RIA

CRD#: 151669

OKLAHOMA CITY, OK

Past

December 12, 2001 - December 1, 2009

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

OKLAHOMA CITY, OK

Past

November 28, 2001 - December 1, 2009

SECURITIES AMERICA, INC.

CRD#: 10205

OKLAHOMA CITY, OK

Past

June 18, 1991 - December 31, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

OKLAHOMA CITY, OK

Past

May 16, 1991 - December 31, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 16, 1991 - December 31, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

December 24, 1990 - June 10, 1991

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

December 24, 1990 - June 10, 1991

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

November 21, 1986 - October 30, 1990

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Kansas
(5/20/2022)

IAR

Louisiana
(7/25/2019)

IAR

Oklahoma
(11/30/2009)

IAR

Texas
(11/30/2009)

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

Series 63

Date: 12/3/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/22/2007

General Securities Principal Examination

Current Firm

L & M WEALTH MANAGEMENT AND RETIREMENT SOLUTIONS, LLC

CRD#: 151669 / SEC#: 801-70792

RIA

Registered Investment Advisory firm - (3/2/2011 Terminated)

Florida

Registered Investment Advisory firm - (1/22/2020 Terminated)

Kansas

Registered Investment Advisory firm - (5/20/2022 Approved)

Louisiana

Registered Investment Advisory firm - (7/25/2019 Approved)

Oklahoma

Registered Investment Advisory firm - (3/2/2011 Approved)

Texas

Registered Investment Advisory firm - (11/4/2010 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

2601 Nw Expressway #110w, Oklahoma City, OK 73112

Mailing Address

Phone number

(405) 286-2654

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 52,718,775

Red Flags

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

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Firm Stability Insights

Carol E. Lyons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Elaine Lyons's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/3/1986

Series 7

Date: 11/15/1986

Series 24

Date: 2/22/2007

Current Firm

L & M WEALTH MANAGEMENT AND RETIREMENT SOLUTIONS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

L & M WEALTH MANAGEMENT AND RETIREMENT SOLUTIONS, LLC

TRUST BUT VERIFY

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