David A. Lyons

BROCKENBROUGH

RICHMOND, VA 23226

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CRD#: 1624727

Professional summary

David Allen Lyons, who also goes by Lyons, is a registered financial advisor currently at BROCKENBROUGH located in Richmond, Virginia.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. David has worked at 6 firms and has passed the Series 63, Series 65, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lyons

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 David Allen Lyons's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 25, 1996 - Present

BROCKENBROUGH

Office #1: 1802 Bayberry Ct., Richmond, VA 23226

RIA

CRD#: 105142

RICHMOND, VA

Past

February 2, 2001 - December 8, 2008

ULTIMUS FUND DISTRIBUTORS, LLC

CRD#: 104177

CINCINNATI, OH

Past

April 5, 1999 - November 17, 2000

IFS FUND DISTRIBUTORS, INC.

CRD#: 24075

CINCINNATI, OH

Past

October 29, 1990 - June 10, 1996

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

BALTIMORE, MD

Past

March 9, 1990 - August 14, 1990

AELTUS CAPITAL, INC

CRD#: 24928

HARTFORD, CT

Past

March 9, 1987 - December 21, 1989

AETNA FINANCIAL SERVICES, INC.

CRD#: 13255

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BROCKENBROUGH

BROCKENBROUGH | LOWE, BROCKENBROUGH & COMPANY, INC. | LOWE BROCKENBROUGH & CO INC | LB&C

CRD#: 105142 / SEC#: 801-6691

RIA

Registered Investment Advisory firm - (7/1/1970 Approved)

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

Virginia
(6/25/1996)

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: 12/16/1999

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/8/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 4/1/1999

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 12/18/1990

General Securities Representative Examination

Current Firm

BROCKENBROUGH

BROCKENBROUGH | LOWE, BROCKENBROUGH & COMPANY, INC. | LOWE BROCKENBROUGH & CO INC | LB&C

CRD#: 105142 / SEC#: 801-6691

RIA

Registered Investment Advisory firm - (7/1/1970 Approved)

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Contact information

Main Address

920 Libbie Ave. Suite 201, Richmond, VA 23226-2050

Mailing Address

Phone number

(804) 288-0404

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROCKENBROUGH ADV PART 2A 6-30-2025_FINAL (6/25/2025)

Regulatory assets under management

Total Number of Accounts	1,162
AUM (Assets Under Management)	$ 5,442,429,889

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/24/2025	Cover Page	Report
11/12/2024	Cover Page	Report
10/26/2023	Cover Page	Report
11/28/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

David A. Lyons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Allen Lyons's CRS (Customer Relationship Summary).

Certified licenses

Experience

ULTIMUS FUND DISTRIBUTORS, LLC

IFS FUND DISTRIBUTORS, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

AELTUS CAPITAL, INC

AETNA FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

BROCKENBROUGH

State Registrations and Notice Filings

Exams

Series 63

Date: 12/16/1999

Series 65

Date: 12/8/1993

Series 6

Date: 4/1/1999

Series 7

Date: 12/18/1990

Current Firm

BROCKENBROUGH

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BROCKENBROUGH

TRUST BUT VERIFY

Contact information

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