David J. Lyon

SOUND ADVICE FINANCIAL

BANNOCKBURN, IL 60015

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CRD#: 5694691

Professional summary

David Justin Lyon, who also goes by David Lewkowitz, is a registered financial advisor currently at SOUND ADVICE FINANCIAL INC. located in Bannockburn, Illinois.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. David has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Lewkowitz

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Justin Lyon's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 26, 2024 - Present

SOUND ADVICE FINANCIAL INC.

Office #1: 2515 Waukegan Rd., Pmb 10001, Bannockburn, IL 60015

RIA

CRD#: 327104

BANNOCKBURN, IL

Past

May 11, 2012 - December 31, 2015

MAIN STREET FINANCIAL

RIA

CRD#: 164106

CHICAGO, IL

Past

January 26, 2012 - April 30, 2012

OSAIC SERVICES, INC.

RIA

CRD#: 133763

CHICAGO, IL

Past

September 2, 2011 - April 30, 2012

OSAIC SERVICES, INC.

CRD#: 133763

CHICAGO, IL

Past

April 26, 2010 - August 24, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

CHICAGO, IL

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".

SOUND ADVICE FINANCIAL INC.

CRD#: 327104 / SEC#: 801-128224

RIA

Registered Investment Advisory firm - (7/6/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(1/26/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/26/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/21/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 4/24/2010

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SOUND ADVICE FINANCIAL INC.

CRD#: 327104 / SEC#: 801-128224

RIA

Registered Investment Advisory firm - (7/6/2023 Approved)

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Contact information

Main Address

2515 Waukegan Rd., Pmb 10001, Bannockburn, IL 60015

Mailing Address

Phone number

(312) 690-4163

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOUND ADVICE FINANCIAL ADV PART 2A (4/28/2025)

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.

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David J. Lyon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Justin Lyon's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUND ADVICE FINANCIAL INC.

MAIN STREET FINANCIAL

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

SOUND ADVICE FINANCIAL INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/26/2024

Series 63

Date: 12/21/2010

Series 6

Date: 4/24/2010

Current Firm

SOUND ADVICE FINANCIAL INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SOUND ADVICE FINANCIAL INC.

TRUST BUT VERIFY

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