Robert S. 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.
Robert Scott Lyons was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2001. Robert had worked at 4 firms and has passed the Series 66 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
October 28, 2002 - October 11, 2012
KING GEORGE CAPITAL MGMT, INC.
October 28, 2002 - October 11, 2012
KINGSBRIDGE CAPITAL CORP.
November 19, 2001 - December 21, 2001
PRUCO SECURITIES, LLC.
June 12, 2001 - December 4, 2001
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
KING GEORGE CAPITAL MGMT, INC.
CRD#: 115430 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 56 |
| AUM (Assets Under Management) | $ 31,000,000 |
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.
