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LB

Lyle P. Bryan

Some features on this profile are disabled
CRD#: 33910
LB

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.

Lyle Phillip Bryan, who also goes by L Phillip Bryan, Philip Lyle Bryan, was a registered financial professional .

Lyle is a previously registered financial professional and started their career in finance in 1968. Lyle had worked at 8 firms and has passed the Series 63, Series 15 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

L Phillip Bryan | Philip Lyle Bryan

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

January 22, 2004 - November 14, 2005

R.T. JONES CAPITAL EQUITIES, INC.

BD
CRD#: 19775
ST. LOUIS, MO
Past

April 24, 2001 - November 24, 2003

SMITH, MOORE & CO.

BD
CRD#: 3441
CLAYTON, MO
Past

April 10, 1991 - April 6, 2001

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

January 8, 1991 - January 6, 1992

NEXT ADVISORS INC.

BD
CRD#: 14612
GARFIELD HEIGHTS, OH
Past

March 15, 1989 - December 13, 1990

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
Past

May 12, 1987 - December 13, 1990

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

March 27, 1987 - April 27, 1987

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
Past

June 13, 1984 - March 25, 1987

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
Past

February 22, 1979 - June 4, 1984

R. ROWLAND & CO., INCORPORATED

BD
CRD#: 911
Past

March 13, 1968 - February 26, 1979

NEWHARD, COOK & CO. INCORPORATED

BD
CRD#: 619

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: 8/20/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 15
Date: 1/21/1985
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 1
Date: 2/25/1965
Registered Representative Examination

Current Firm

RJ
R.T. JONES CAPITAL EQUITIES, INC.
R.T. JONES CAPITAL EQUITIES, INC. | RT JONES CAPITAL EQUITIES INC

CRD#: 19775 / SEC#: , 8-37783

BD
Terminated by SEC on 01/31/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Missouri since 04/14/1987
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
R.T. JONES, F.S. LADNER & ASSOCIATES, INC.OWNER
DAVIDSON, JANE ANNCHIEF COMPLIANCE OFFICER1620308
JONES, ROBERT TERRENCEPRESIDENT, SECRETARY, TREASURER1518153

Disclosures

Regulatory Event2

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

R.T. JONES CAPITAL EQUITIES, INC.

CRD#: 19775

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