Mitchell W. 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.
Mitchell Warren Lyons was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 2000. Mitchell had worked at 6 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
April 16, 2019 - August 12, 2019
J.W. COLE FINANCIAL, INC.
June 23, 2014 - May 17, 2019
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
June 23, 2014 - April 18, 2019
G.F. INVESTMENT SERVICES, LLC
June 18, 2012 - July 1, 2014
LPL FINANCIAL LLC
May 29, 2008 - June 29, 2012
WOODBURY FINANCIAL SERVICES, INC.
October 5, 2000 - May 28, 2008
EQUITABLE ADVISORS, LLC
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
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
