Gregory M. Lyon
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.
Gregory Marcos Lyon, who also goes by Greg Lyon, Gregory M Lyon, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2006. Gregory had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2020 - October 9, 2025
COURSE MANAGEMENT INVESTMENT ADVISORS, LLC
July 6, 2018 - December 7, 2019
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
July 23, 2015 - July 6, 2018
LPL FINANCIAL LLC
October 16, 2014 - June 18, 2015
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
September 10, 2014 - April 9, 2020
LPL FINANCIAL LLC
July 10, 2012 - September 9, 2014
FIDELITY BROKERAGE SERVICES LLC
January 1, 2008 - February 13, 2009
FIDELITY BROKERAGE SERVICES LLC
November 3, 2006 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY 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
COURSE MANAGEMENT INVESTMENT ADVISORS, LLC
CRD#: 306974 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 403 |
| AUM (Assets Under Management) | $ 72,340,000 |
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.
