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Kristofer Garrett Lyons

Kristofer G. Lyons

TCI WEALTH ADVISORS
Flagstaff, AZ 86001
Some features on this profile are disabled
CRD#: 6068172
Kristofer Garrett Lyons

Professional summary

Kristofer Garrett Lyons, CFP®, who also goes by Kris Lyons, is a registered financial advisor currently at TCI WEALTH ADVISORS, INC. located in Flagstaff, Arizona.

Kristofer is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Kristofer has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kris Lyons

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 Kristofer Garrett Lyons'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®
CFP®

Certified Financial Planner

Start date: 2018

Experience

Current

November 1, 2024 - Present

TCI WEALTH ADVISORS, INC.

Office #1: 150 W. Dale Avenue Suite 1, Flagstaff, AZ 86001
RIA
CRD#: 107373
Flagstaff, AZ
Past

April 4, 2014 - October 2, 2024

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Phoenix, AZ
Past

August 7, 2012 - October 2, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Phoenix, AZ

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".
TCI WEALTH ADVISORS, INC.
TCI WEALTH ADVISORS, INC.
AQN INVESTMENT ADVISORS, INC. | THE CONSERVATIVE INVESTOR | TCI WEALTH MANAGEMENT, INC. | TCI WEALTH ADVISORS, INC. | TCI FINANCIAL PLANNING, INC. | TCI ASSET MANAGERS, INC. | SWIFT ROBERT CLARKSON

CRD#: 107373 / SEC#: 801-37083

RIA
Registered Investment Advisory firm - (8/30/1990 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
Arizona
(11/1/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/4/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/11/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/6/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/29/2021
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/14/2021
General Securities Sales Supervisor - Options Module Examination

Current Firm

TCI WEALTH ADVISORS, INC.
TCI WEALTH ADVISORS, INC.
AQN INVESTMENT ADVISORS, INC. | THE CONSERVATIVE INVESTOR | TCI WEALTH MANAGEMENT, INC. | TCI WEALTH ADVISORS, INC. | TCI FINANCIAL PLANNING, INC. | TCI ASSET MANAGERS, INC. | SWIFT ROBERT CLARKSON

CRD#: 107373 / SEC#: 801-37083

RIA
Registered Investment Advisory firm - (8/30/1990 Approved)
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Contact information

Main Address
4011 East Sunrise Drive, Tucson, AZ 85718
Mailing Address
Phone number
(520) 733-1477
Established
Firm type
Fiscal year end
# of Employees
60

SEC notice filing (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts11,010
AUM (Assets Under Management)$ 4,527,183,704

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/08/2025
Cover Page
Report
08/23/2024
Cover Page
Report
10/30/2023
Cover Page
Report

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.

Company Information

TCI WEALTH ADVISORS, INC.

TCI WEALTH ADVISORS, INC.

CRD#: 107373Flagstaff, AZ 86001

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