David Allen Lyons
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Lyons
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Years of Experience
39 years in the financial services industry
Current & Past Employments
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
BROCKENBROUGH | LOWE, BROCKENBROUGH & COMPANY, INC. | LOWE BROCKENBROUGH & CO INC | LB&C
Contact Information
Main Address
920 Libbie Ave. Suite 201, Richmond, VA 23226-2050Phone Number
(804) 288-0404# of Employees
31SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
568AUM (Assets Under Management)
$5,487,791,666Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/05/2026 | Cover Page | Report |
| 11/24/2025 | Cover Page | Report |
| 11/12/2024 | Cover Page | Report |
| 10/26/2023 | Cover Page | Report |
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
BROCKENBROUGH | LOWE, BROCKENBROUGH & COMPANY, INC. | LOWE BROCKENBROUGH & CO INC | LB&C
State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1999About the Series 6 examSimilar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view David Allen Lyons's CRS (Customer Relationship Summary).
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
