Charles Martin Lyon
Professional Summary
Charles Martin Lyon, who also goes by Charles Lyon, is a registered financial advisor currently at STONEX FINANCIAL INC. located in Winter Park, Florida and STONEX SECURITIES INC. located in Winter Park, Florida. Charles is registered as a RR (Registered Representative) and started their career in finance in 1999. Charles has worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, Series 3, SIE, Series 55, Series 7 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Charles Lyon
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
C G MATON FINANCIAL SERVICES , INC. | STONEX WEALTH MANAGEMENT | STONEX SECURITIES INC. | STERNE AGEE FINANCIAL SERVICES, INC. | SOUTHEAST NETWORK EQUITIES GROUP, INC. | SAL FINANCIAL SERVICES, INC. | SA STONE WEALTH MANAGEMENT INC. | INVESTECH CAPITAL CORPORATION | CAPITAL GROWTH MANAGEMENT INC.
Contact Information
Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243Mailing Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243Phone Number
(800) 292-2411Established
Delaware since 01/22/2002Firm Type
CorporationFiscal Year End
SeptemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | — |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER / CEO | 3037932 |
| SHEA, KEVIN | SECRETARY | 8263627 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
Regulatory Event
9Arbitration
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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.
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State Registrations and Notice Filings
(12/17/2013)
(7/18/2019)
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(7/18/2019)
(7/18/2019)
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(12/17/2004)
(7/18/2019)
(3/22/2013)
(8/27/2001)
(7/21/2014)
(7/18/2019)
(7/18/2019)
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(3/22/2013)
(7/18/2019)
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(7/21/2014)
(6/30/2017)
(12/15/2004)
(7/18/2019)
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(4/12/2013)
(7/18/2019)
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(4/14/2016)
(7/18/2019)
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(1/25/2013)
(7/18/2019)
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(4/11/2018)
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(7/18/2019)
(2/12/2013)
(4/10/2019)
(7/18/2019)
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(3/23/2018)
(5/12/2005)
(7/18/2019)
(7/18/2019)
(7/18/2019)
(7/18/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed May 2001SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Charles Martin Lyon's CRS (Customer Relationship Summary).
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