AL
Andrew L. Lyon
RBC CAPITAL MARKETS
Maitland, FL
Some features on this profile are disabled
CRD#: 4160409
AL
Professional summary
Andrew Lincoln Lyon IV, who also goes by Andrew L Lyon, Andrew L Lyon IV, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Maitland, Florida.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Andrew has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 31 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew L Lyon | Andrew L Lyon Iv
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.
(1) I*3720 For profit or not for profit: Governmental or Public Purpose Entity Name of outside business organization: Oviedo High School Investment related: N Address of business: Oviedo, Florida 32765 Nature of business: High School Baseball Coach, Position, title, association: Head Baseball Coach, Start date of relationship: 1/18/2021 Number of hours devoted: 400 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Teach kids how to play and learn the game (2) I*113230 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: POWER BASEBALL INVESTMENT RELATED: N ADDRESS OF BUSINESS: EUSTIS, FLORIDA 32736 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 5/21/2018 NUMBER OF HOURS DEVOTED: 50 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I WILL BE COACHING HIGH SCHOOL BASEBALL PLAYERS DURING THE SUMMER AND FALL AFTER WORK. (3) I*412617 For profit or not for profit: Entity For Profit Name of outside business organization: Central Florida Thunder Investment related: N Address of business: Winter Park, Florida, 32789 Nature of business: ["Sole Proprietorship"] Position, title, association: ["Other","Treasurer"], Start date of relationship: 6/30/2021 Number of hours devoted: 10 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: Part-Time, I will coach young players in baseball sometimes during the year when needed. (4) NAME: Central Florida Thunder Non-Investment related ADDRESS: 1020 Railroad Ave. Winter Park, FL 32789 Nature of OBA: Youth Baseball Camps and Teams Position/Title/Relationship: Independent Contractor/Consultant Start Date: 09/06/22 Time devoted: 1 hour per month; 0 during securities trading hours DUTIES: Work with baseball players on their fundamentals to improve their game (5) NAME: Power Baseball Non-Investment related ADDRESS: 101 N Main St Winter Garden, FL 34787-2824 Nature of OBA: Camp instructor Position/Title/Relationship: I am a independent contractor/camp instructor Start Date: 09/06/22 Time Devoted: 1 hour per month; 0 during securities trading hours DUTIES: Help with camp instruction for kids baseball 6) NAME OF ENTITY: Oviedo High School ADDRESS: 601 King St. Oviedo, FL 32765 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Head Baseball Coach CAPACITY: Other START DATE: 09.06.22 DUTIES: I will coach baseball and manage the overall baseball program at Oviedo. PER MONTH: 1; SECURITIES HOURS: 0
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Lincoln Lyon IV's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Lincoln Lyon IV'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
September 6, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 360 Garfield Ave, Winter Park, FL 32789RIA
BD
CRD#: 31194
Maitland, FL
Current
September 1, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 360 Garfield Ave, Winter Park, FL 32789RIA
BD
CRD#: 31194
Winter Park, FL
Past
November 4, 2015 - August 31, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WINTER PARK, FL
Past
September 2, 2015 - August 31, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WINTER PARK, FL
Past
August 22, 2000 - October 8, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ORLANDO, FL
Past
August 18, 2000 - October 8, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(10/20/2022)
RR
California(10/6/2022)
RR
Colorado(10/5/2022)
RR
Connecticut(10/5/2022)
RR
Delaware(10/17/2022)
RR
Florida(9/1/2022)
IAR
Florida(9/6/2022)
RR
Georgia(10/7/2022)
RR
Hawaii(5/6/2025)
RR
Illinois(10/21/2022)
RR
Indiana(10/5/2022)
RR
Kansas(10/7/2022)
RR
Maryland(10/6/2022)
RR
Massachusetts(6/25/2024)
RR
Michigan(10/10/2022)
RR
Minnesota(8/19/2024)
RR
Nevada(10/18/2022)
RR
New Jersey(10/5/2022)
RR
New York(10/6/2022)
RR
North Carolina(10/10/2022)
RR
Ohio(10/6/2022)
RR
Pennsylvania(10/6/2022)
RR
South Carolina(10/10/2022)
RR
Texas(10/5/2022)
IAR
Texas(10/6/2022)
RR
Utah(10/6/2022)
RR
Virginia(6/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
