EL
Eric L. Lyon
KESTRA ADVISORY SERVICES
Boca Raton, FL 33431
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CRD#: 2213888
EL
Professional summary
Eric Lee Lyon is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Boca Raton, Florida and KESTRA INVESTMENT SERVICES, LLC located in Boca Raton, Florida.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Eric has worked at 12 firms and has passed the Series 65, Series 63, SIE, 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.
Name: KESTRA ADVISORY SERVICES POS: IAR NOB: Investment advisory services through Kestra Advisory Services, LLC INV REL: Yes #OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/26/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESC: IAR Name: WEALTH EMPOWERMENT FINANCIAL STRATEGIES POS: Owner NOB: Insurance INV REL: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/26/2024 ADDRESS: 2424 N. Federal Hwy, Suite 400, Boca Raton FL 33431 DESC: Own and operate branch office Name: OQP PARTNERS, LLC POSITION: Owner/Partner NATURE: Paying bills for office operating expenses INVESTMENT RELATED: No # OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 07/11/2025 ADDRESS: 2424 N. Federal Hwy #400, Boca Raton FL 33431, United States DESCRIPTION: Paying bills for office operating expenses
CRS (Client Relationship Summary) - RIA
Click below to view Eric Lee Lyon'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®
NoneExperience
Current
October 1, 2024 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2424 N Federal Hwy, Ste 400, Boca Raton, FL 33431RIA
CRD#: 283330
Boca Raton, FL
Current
October 1, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2424 North Federal Highway Suite 400, Boca Raton, FL 33431BD
CRD#: 42046
Boca Raton, FL
Past
July 22, 2022 - October 30, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
BOCA RATON, FL
Past
September 14, 2004 - October 30, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
BOCA RATON, FL
Past
February 5, 2004 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
February 4, 2003 - February 19, 2004
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BOCA RATON, FL
Past
January 2, 2001 - February 28, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
BOCA RATON, FL
Past
January 2, 2001 - February 28, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
September 29, 1994 - January 2, 2001
JWGENESIS SECURITIES, INC.
BD
CRD#: 33832
BOCA RATON, FL
Past
September 26, 1994 - October 4, 1994
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
February 1, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
BD
CRD#: 26063
NEW YORK, NY
Past
July 10, 1992 - February 4, 1994
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
March 2, 1992 - July 10, 1992
J. W. GANT & ASSOCIATES, INC.
BD
CRD#: 7963
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/1/2024)
RR
Arizona(10/1/2024)
RR
Arkansas(10/1/2024)
RR
California(10/2/2024)
RR
Colorado(10/1/2024)
RR
Connecticut(10/1/2024)
RR
Delaware(10/4/2024)
RR
Florida(10/2/2024)
IAR
Florida(10/3/2024)
RR
Georgia(10/2/2024)
RR
Illinois(11/20/2024)
RR
Indiana(10/2/2024)
RR
Kentucky(10/1/2024)
RR
Maryland(10/1/2024)
RR
Massachusetts(10/4/2024)
RR
Michigan(10/1/2024)
RR
Nevada(10/3/2024)
RR
New Hampshire(4/10/2025)
RR
New Jersey(10/3/2024)
RR
New Mexico(10/1/2024)
RR
New York(10/1/2024)
RR
North Carolina(10/31/2024)
RR
Ohio(10/1/2024)
RR
Oregon(1/22/2025)
RR
Pennsylvania(10/2/2024)
RR
Rhode Island(10/1/2024)
RR
South Carolina(10/3/2024)
RR
Tennessee(10/2/2024)
RR
Texas(10/1/2024)
IAR
Texas(10/1/2024)
RR
Virgin Islands(10/1/2024)
RR
Virginia(10/3/2024)
RR
Washington(10/30/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Boca Raton, FL 33431TRUST BUT VERIFY
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