Steve R. Lyon
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.
Steve Robert Lyon, who also goes by Steve R Lyon, Steven Robert Lyon, was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 2000. Steve had worked at 5 firms and has passed the Series 65, Series 63, 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
October 1, 2019 - June 25, 2021
VANGUARD ADVISERS, INC.
April 6, 2011 - June 25, 2021
VANGUARD MARKETING CORPORATION
June 16, 2010 - March 15, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 16, 2010 - March 15, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 7, 2008 - December 31, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 4, 2008 - December 31, 2009
WELLS FARGO CLEARING SERVICES, LLC
May 3, 2000 - December 11, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
