Douglas L. Lyons

ALLSPRING FUNDS MANAGEMENT

Pembroke, MA

Some features on this profile are disabled

CRD#: 4229276

Professional summary

Douglas Leigh Lyons, who also goes by Lyons, is a registered financial advisor currently at ALLSPRING FUNDS MANAGEMENT, LLC located in Pembroke, Massachusetts and ALLSPRING FUNDS DISTRIBUTOR, LLC located in Boston, Massachusetts.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Douglas has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lyons

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Leigh Lyons's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 16, 2024 - Present

ALLSPRING FUNDS MANAGEMENT, LLC

Office #2: 101 Seaport Blvd 11th Floor, Boston, MA 02210

RIA

CRD#: 110841

Pembroke, MA

Current

November 25, 2024 - Present

ALLSPRING FUNDS DISTRIBUTOR, LLC

Office #1: 101 Seaport Blvd 11th Floor, Boston, MA 02210

CRD#: 133366

Boston, MA

Past

August 28, 2020 - September 5, 2024

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

November 8, 2018 - September 5, 2024

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

BOSTON, MA

Past

November 9, 2016 - September 5, 2024

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

September 11, 2003 - December 31, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

BOSTON, MA

Past

September 11, 2003 - November 8, 2018

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA

CRD#: 106435

BOSTON, MA

Past

July 26, 2002 - November 10, 2016

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

October 19, 2001 - May 9, 2002

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

August 17, 2000 - October 19, 2001

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, 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".

ALLSPRING FUNDS MANAGEMENT, LLC

ALLSPRING FUNDS MANAGEMENT, LLC | WELLS FARGO FUNDS MANAGEMENT, LLC

CRD#: 110841 / SEC#: 801-58237

RIA

Registered Investment Advisory firm - (12/22/2000 Approved)

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.

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

Alabama
(11/25/2024)

Alaska
(11/25/2024)

Arizona
(11/25/2024)

Arkansas
(11/25/2024)

California
(11/25/2024)

Colorado
(11/25/2024)

Connecticut
(11/25/2024)

Delaware
(11/25/2024)

District of Columbia
(11/25/2024)

Florida
(11/25/2024)

Georgia
(11/25/2024)

Hawaii
(11/25/2024)

Idaho
(11/25/2024)

Illinois
(11/25/2024)

Indiana
(11/25/2024)

Iowa
(11/25/2024)

Kansas
(11/25/2024)

Kentucky
(11/25/2024)

Louisiana
(11/25/2024)

Maine
(11/25/2024)

Maryland
(11/25/2024)

Massachusetts
(11/25/2024)

IAR

Massachusetts
(12/16/2024)

Michigan
(11/25/2024)

Minnesota
(11/25/2024)

Mississippi
(11/25/2024)

Missouri
(11/25/2024)

Montana
(11/25/2024)

Nebraska
(11/25/2024)

Nevada
(11/25/2024)

New Hampshire
(11/25/2024)

New Jersey
(11/25/2024)

New Mexico
(11/25/2024)

New York
(11/25/2024)

North Carolina
(11/25/2024)

North Dakota
(11/25/2024)

Ohio
(11/26/2024)

Oklahoma
(11/25/2024)

Oregon
(11/25/2024)

Pennsylvania
(11/25/2024)

Puerto Rico
(11/25/2024)

Rhode Island
(11/25/2024)

South Carolina
(11/25/2024)

South Dakota
(11/25/2024)

Tennessee
(11/25/2024)

Texas
(11/25/2024)

Utah
(11/25/2024)

Vermont
(11/25/2024)

Virgin Islands
(11/25/2024)

Virginia
(11/25/2024)

Washington
(11/25/2024)

West Virginia
(11/25/2024)

Wisconsin
(11/25/2024)

Wyoming
(11/25/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/31/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/2/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/28/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/16/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/26/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALLSPRING FUNDS MANAGEMENT, LLC

ALLSPRING FUNDS MANAGEMENT, LLC | WELLS FARGO FUNDS MANAGEMENT, LLC

CRD#: 110841 / SEC#: 801-58237

RIA

Registered Investment Advisory firm - (12/22/2000 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1415 Vantage Park Drive 3rd Floor, Charlotte, NC 28203

Mailing Address

Phone number

(833) 568-4255

Established

Firm type

Fiscal year end

# of Employees

519

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFM MARCH 24, 2025 2A BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	12,065
AUM (Assets Under Management)	$ 318,037,012,784

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Douglas L. Lyons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Leigh Lyons's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSPRING FUNDS DISTRIBUTOR, LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

MANULIFE INVESTMENT MANAGEMENT (US) LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

DWS DISTRIBUTORS, INC.

DEAM INVESTOR SERVICES, INC.

Primary Firm SEC Registration

ALLSPRING FUNDS MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/31/2003

Series 63

Date: 10/2/2000

SIE

Date: 10/1/2018

Series 7

Date: 12/28/2001

Series 6

Date: 8/16/2000

Series 24

Date: 2/26/2007

FINRA

Current Firm

ALLSPRING FUNDS MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSPRING FUNDS MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors