Douglas J. Lyons

OCEANIC CAPITAL MANAGEMENT LLC

Red Bank, NJ 07701

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CRD#: 1612316

Professional summary

Douglas John Lyons, CFP® is a registered financial advisor currently at OCEANIC CAPITAL MANAGEMENT LLC located in Red Bank, New Jersey.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Douglas has worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas John 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: 1993

Experience

Current

October 31, 2017 - Present

OCEANIC CAPITAL MANAGEMENT LLC

Office #1: 125 Half Mile Road Suite 200, Red Bank, NJ 07701

RIA

CRD#: 146135

Red Bank, NJ

Past

September 9, 2010 - March 31, 2018

DOUGLAS J. LYONS FINANCIAL GROUP INC.

RIA

CRD#: 154905

RED BANK, NJ

Past

October 28, 2008 - March 19, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MANASQUAN, NJ

Past

May 8, 2000 - March 19, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 3, 1998 - May 2, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 4, 1994 - July 14, 1998

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

February 25, 1992 - April 7, 1994

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 25, 1992 - April 7, 1994

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

New Jersey
(11/3/2017)

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

IAR

Series 66

Date: 10/27/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/5/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/7/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/2/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/23/2007

General Securities Sales Supervisor - Options Module Examination

Current Firm

OCEANIC CAPITAL MANAGEMENT LLC

CRD#: 146135 / SEC#:

New Jersey

Registered Investment Advisory firm - (4/4/2008 Approved)

New York

Registered Investment Advisory firm - (12/31/2017 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/25/2022 Terminated)

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

125 Half Mile Road Suite 200, Red Bank, NJ 07701

Mailing Address

Phone number

(732) 345-1533

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	196
AUM (Assets Under Management)	$ 59,165,560

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.

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Advisor Monitoring

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Douglas J. Lyons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas John Lyons's CRS (Customer Relationship Summary).

Certified licenses

Experience

DOUGLAS J. LYONS FINANCIAL GROUP INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SUNAMERICA SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2008

Series 63

Date: 10/5/2001

Series 7

Date: 2/7/1992

Series 10

Date: 4/2/2007

Series 9

Date: 2/23/2007

Current Firm

OCEANIC CAPITAL MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OCEANIC CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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