David W. Lyles
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.
David William Lyles, who also goes by David W Lyles, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2019 - December 31, 2019
TLG ADVISORS, INC.
May 22, 2019 - December 31, 2019
THE LEADERS GROUP, INC.
April 27, 2017 - August 13, 2018
INVESTACORP ADVISORY SERVICES INC
April 26, 2017 - August 13, 2018
INVESTACORP, INC.
January 14, 2005 - November 15, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 8, 1998 - November 15, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
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.
