CL
Charles M. Lyon
STONEX FINANCIAL
Winter Park, FL 32789
Some features on this profile are disabled
CRD#: 4000852
CL
Professional summary
Charles Martin Lyon, who also goes by Charles Lyon, is a registered financial professional 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 Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charles Lyon
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.
CRS (Client Relationship Summary) - BD
Click below to view Charles Martin 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
August 27, 2001 - Present
STONEX FINANCIAL INC.
Office #1: 329 Park Avenue North Suite 350, Winter Park, FL 32789Office #2: 329 Park Avenue North Suite 350, Winter Park, FL 32789BD
CRD#: 45993
Winter Park, FL
Current
July 29, 2016 - Present
STONEX SECURITIES INC.
Office #1: 329 Park Avenue N. Suite 350, Winter Park, FL 32789BD
CRD#: 18456
Winter Park, FL
Past
September 7, 2019 - December 18, 2019
STONEX OUTSOURCED SERVICES LLC
BD
CRD#: 30773
PARK CITY, UT
Past
January 17, 2019 - May 1, 2019
INTL FCSTONE CREDIT TRADING LLC
BD
CRD#: 41025
WINTER PARK, FL
Past
July 29, 2016 - July 12, 2017
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
WINTER PARK, FL
Past
July 29, 2016 - July 5, 2018
INTL CUSTODY & CLEARING SOLUTIONS INC.
BD
CRD#: 23952
WINTER PARK, FL
Past
January 8, 2001 - November 1, 2001
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
ORLANDO, FL
Past
September 7, 1999 - October 3, 2000
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
ORLANDO, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(12/17/2013)
RR
Alaska(7/18/2019)
RR
Arizona(7/18/2019)
RR
Arkansas(7/18/2019)
RR
California(7/18/2019)
RR
Colorado(7/18/2019)
RR
Connecticut(12/17/2004)
RR
Delaware(7/18/2019)
RR
District of Columbia(3/22/2013)
RR
Florida(8/27/2001)
RR
Georgia(7/21/2014)
RR
Hawaii(7/18/2019)
RR
Idaho(7/18/2019)
RR
Illinois(7/18/2019)
RR
Indiana(3/22/2013)
RR
Iowa(7/18/2019)
RR
Kansas(7/18/2019)
RR
Kentucky(7/18/2019)
RR
Louisiana(7/21/2014)
RR
Maine(6/30/2017)
RR
Maryland(12/15/2004)
RR
Massachusetts(7/18/2019)
RR
Michigan(7/18/2019)
RR
Minnesota(7/18/2019)
RR
Mississippi(7/18/2019)
RR
Missouri(7/18/2019)
RR
Montana(7/18/2019)
RR
Nebraska(7/18/2019)
RR
Nevada(7/18/2019)
RR
New Hampshire(4/12/2013)
RR
New Jersey(7/18/2019)
RR
New Mexico(7/18/2019)
RR
New York(4/14/2016)
RR
North Carolina(7/18/2019)
RR
North Dakota(7/18/2019)
RR
Ohio(1/25/2013)
RR
Oklahoma(7/18/2019)
RR
Oregon(7/18/2019)
RR
Pennsylvania(7/18/2019)
RR
Puerto Rico(4/11/2018)
RR
Rhode Island(7/18/2019)
RR
South Carolina(7/18/2019)
RR
South Dakota(7/18/2019)
RR
Tennessee(2/12/2013)
RR
Texas(4/10/2019)
RR
Utah(7/18/2019)
RR
Vermont(7/18/2019)
RR
Virgin Islands(3/23/2018)
RR
Virginia(5/12/2005)
RR
Washington(7/18/2019)
RR
West Virginia(7/18/2019)
RR
Wisconsin(7/18/2019)
RR
Wyoming(7/18/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/29/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SS
STONEX SECURITIES INC.
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.
CRD#: 18456 / SEC#: , 8-36638
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Phone number
(800) 292-2411
Established
Delaware since 01/22/2002
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| 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 | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
