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PL

Patrick T. Lyman

Some features on this profile are disabled
CRD#: 1944556
PL

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.

Patrick Thomas Lyman, who also goes by Pat Lyman, was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 1989. Patrick had worked at 12 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pat Lyman

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 4, 2018 - June 21, 2018

REGULUS FINANCIAL GROUP, LLC

BD
CRD#: 150631
KENTWOOD, MI
Past

February 1, 2016 - December 31, 2016

PACKERLAND BROKERAGE SERVICES, INC.

BD
CRD#: 37031
Havertown, PA
Past

July 29, 2011 - October 10, 2014

HAZARD & SIEGEL, INC.

BD
CRD#: 2048
ST DAVIDS, PA
Past

January 12, 2009 - August 26, 2009

FORTUNE FINANCIAL SERVICES, INC.

BD
CRD#: 42150
DREXEL HILL, PA
Past

July 5, 2006 - December 31, 2008

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
DREXEL HILL, PA
Past

March 28, 2006 - June 12, 2006

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
WAYNE, PA
Past

November 7, 2005 - March 20, 2006

SUNSET FINANCIAL SERVICES, INC.

BD
CRD#: 3538
KANSAS CITY, MO
Past

January 5, 2005 - November 3, 2005

CARILLON INVESTMENTS, INC.

BD
CRD#: 14646
CINCINNATI, OH
Past

July 22, 1997 - October 28, 2004

SUNSET FINANCIAL SERVICES, INC.

BD
CRD#: 3538
KANSAS CITY, MO
Past

February 23, 1996 - August 6, 1997

ALLEGHENY INVESTMENTS, LTD.

BD
CRD#: 7597
PITTSBURGH, PA
Past

December 13, 1994 - February 23, 1996

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT
Past

July 15, 1991 - December 16, 1994

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

July 27, 1989 - July 11, 1991

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/9/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/21/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/26/1989
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/13/2002
Investment Company Products/Variable Contracts Principal Examination

Current Firm

RF
REGULUS FINANCIAL GROUP, LLC
REGULUS ADVISORS, LLC | REGULUS, LLC | REGULUS FINANCIAL GROUP, LLC

CRD#: 150631 / SEC#: , 8-68275

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
2687 44th Street, Se, Suite 101, Kentwood, MI 49512
Mailing Address
2687 44th Street, Se, Suite 101, Kentwood, MI 49512
Phone number
(616) 224-2204
Established
Michigan since 12/28/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
REGAL HOLDINGS OF AMERICA, LLCMEMBER
CARLSON, DONALD NATE MR.PRESIDENT2903454
LUTTRULL, KELLEYFINANCIAL OPERATIONS PRINCIPAL / CHIEF FINANCIAL OFFICER7363208
VEENSTRA, JILL ANNECHIEF COMPLIANCE OFFICER/AMLCO3222590

Disclosures

Regulatory Event5

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.

Company Information

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

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