David B. 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.
David Bernard Lyons was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1980. David had worked at 10 firms and has passed the Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 1995 - January 31, 2007
MONARCH FINANCIAL CORPORATION OF AMERICA
October 3, 1994 - April 17, 1995
MERIDIAN, DUNHILL & CO., INC.
August 22, 1990 - October 3, 1994
DUNHILL EQUITIES, INC.
November 6, 1989 - September 5, 1990
MINOTAUR SECURITIES CORPORATION
August 20, 1986 - October 25, 1989
WILLIAM M. CADDEN & CO., INC.
June 30, 1986 - September 23, 1987
PHILIPS, APPEL & WALDEN, INC.
July 11, 1983 - June 30, 1986
S. D. COHN & CO.
July 13, 1982 - July 1, 1983
UNIFIED SECURITIES CORPORATION
September 25, 1981 - July 9, 1982
TRIPP & CO., INC.
September 26, 1980 - August 18, 1981
MARKS, ALLEN & CO.
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
MONARCH FINANCIAL CORPORATION OF AMERICA
CRD#: 23437 / SEC#: , 8-40433
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
