JL
Jeffrey G. Lyon
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CRD#: 5385043
JL
Professional summary
Jeffrey G Lyon was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey G Lyon was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2007. Jeffrey had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
September 12, 2011 - August 21, 2013
JOSEPH GUNNAR & CO. LLC
BD
CRD#: 24795
NEW YORK, NY
Past
February 19, 2009 - August 30, 2011
CHARLES VISTA LLC
BD
CRD#: 132650
NEW YORK, NY
Past
March 14, 2008 - January 31, 2009
JOHN THOMAS FINANCIAL
BD
CRD#: 40982
NEW YORK, NY
Past
July 25, 2007 - April 9, 2008
MERCER CAPITAL LTD.
BD
CRD#: 104012
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".
JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.
CRD#: 24795 / SEC#: 801-121064, 8-41386
RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.
CRD#: 24795 / SEC#: 801-121064, 8-41386
RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information
Main Address
1000 Rxr Plaza 10th Floor, Uniondale, NY 11556
Mailing Address
1000 Rxr Plaza, Uniondale, NY 11556
Phone number
(212) 440-9600
Established
Delaware since 08/07/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
50
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 68 |
| AUM (Assets Under Management) | $ 33,967,899 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 13 |
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.
