William 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.
William Lyons, who also goes by William Joseph Lyons III, William Joseph Lyons, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2002. William had worked at 10 firms and has passed the Series 63, Series 66, Series 57TO, SIE, Series 55, Series 31 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
August 30, 2022 - February 26, 2026
TP ICAP GLOBAL MARKETS AMERICAS LLC
April 4, 2019 - September 26, 2019
ROBERTS & RYAN, INC.
August 10, 2010 - July 27, 2022
LEK SECURITIES CORPORATION
February 8, 2010 - August 3, 2010
RAFFERTY CAPITAL MARKETS, LLC
February 4, 2010 - February 8, 2010
ELEVATION, LLC
April 6, 2009 - February 5, 2010
LEDGEMONT CAPITAL MARKETS LLC
October 24, 2008 - March 27, 2009
G-2 TRADING,LLC
March 2, 2004 - March 15, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
November 4, 2003 - March 19, 2004
AMERIPRISE ADVISOR SERVICES, INC.
November 3, 2003 - March 19, 2004
AMERIPRISE ADVISOR SERVICES, INC.
January 21, 2003 - November 4, 2003
MORGAN STANLEY DW INC.
December 3, 2002 - November 4, 2003
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/23/2009
Limited Representative-Equity Trader ExamCurrent Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Disclosures
| Regulatory Event | 32 |
Red Flags
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