Edwin B. Lyon, Iii
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.
Edwin Buchanan Lyon, Iii III, who also goes by Buck Lyon, Edwin Buchanan Lyon III, was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 1969. Edwin had worked at 2 firms and has passed the Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 1972 - May 11, 2000
STONEGATE CAPITAL MARKETS, INC.
October 21, 1969 - February 5, 1973
MC KINNEY ROSE & COMPANY INC
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
Series 00
Date: 10/14/1969
General Securities Principal ExaminationCurrent Firm
STONEGATE CAPITAL MARKETS, INC.
CRD#: 6376 / SEC#: , 8-17359
Contact information
FINRA licenses (22 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
