Donna K. Lyons
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.
Donna K Lyons, who also goes by Donna K Lee, Donna Lee Lyons, Donna Lyons, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 2000. Donna had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2013 - November 27, 2017
AVANTAX ADVISORY SERVICES
June 13, 2013 - November 27, 2017
AVANTAX INVESTMENT SERVICES, INC.
March 9, 2012 - December 20, 2012
EDWARD JONES
February 23, 2012 - December 20, 2012
EDWARD JONES
January 16, 2009 - September 29, 2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 16, 2009 - September 29, 2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 6, 2000 - January 22, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 26, 2000 - January 22, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
