Adam S. Lyall
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.
Adam Sean Lyall was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2000. Adam had worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2014 - April 20, 2015
RESOURCE SECURITIES LLC
December 6, 2011 - May 1, 2014
KBS CAPITAL MARKETS GROUP LLC
July 22, 2009 - March 17, 2011
STIRA CAPITAL MARKETS GROUP, LLC
April 9, 2007 - May 23, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 26, 2007 - May 23, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 7, 2006 - July 13, 2006
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 1, 2000 - February 22, 2005
COREBRIDGE CAPITAL SERVICES, 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
Current Firm
RESOURCE SECURITIES LLC
CRD#: 133022 / SEC#: , 8-66669
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAI VENTURES LLC | SOLE SHAREHOLDER | |
| BLOCK, LAWRENCE STEVEN | PRESIDENT, CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 3006613 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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