LL
Lee W. Lyon
J. W. COLE ADVISORS
Jacksonville, FL 32207
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CRD#: 2761048
LL
Professional summary
Lee Wayne Lyon is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Jacksonville, Florida and J.W. COLE FINANCIAL, INC. located in Jacksonville, Florida.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Lee has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 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.
1)A)LYON INVESTMENT SERVICES/DBA C)SAME AS BRANCH D) MARKETING OF FINANCIAL SERVICES & INSURANCE E)PRESIDENT G) 160 HRS PER MONTH H)160 HRS DURING TRADING K)CLIENT INVOLVED
CRS (Client Relationship Summary) - RIA
Click below to view Lee Wayne 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
February 8, 2006 - Present
J. W. COLE ADVISORS, INC.
Office #1: 1450 Flagler Avenue Unit 32, Jacksonville, FL 32207RIA
CRD#: 112294
Jacksonville, FL
Current
January 23, 2006 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 1450 Flagler Avenue Unit 32, Jacksonville, FL 32207BD
CRD#: 124583
Jacksonville, FL
Past
December 15, 2005 - January 19, 2006
CINCINNATI ANALYSTS, INC.
RIA
CRD#: 5478
JACKSONVILLE, FL
Past
July 23, 1996 - January 19, 2006
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
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".
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)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(6/18/2024)
RR
Florida(1/23/2006)
IAR
Florida(2/8/2006)
RR
Georgia(6/5/2024)
RR
Texas(2/21/2012)
RR
Wisconsin(1/3/2017)
RR
Wyoming(7/5/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
Phone number
(813) 935-6776
Established
Firm type
Fiscal year end
# of Employees
512
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
Red Flags
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Company Information
J. W. COLE ADVISORS, INC.
CRD#: 112294Jacksonville, FL 32207TRUST BUT VERIFY
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