James F. 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.
James Francis Lyons was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1980. James had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2019 - January 15, 2021
SPOUTING ROCK CAPITAL ADVISORS, LLC
April 7, 2009 - March 1, 2017
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
April 7, 1994 - October 27, 2008
ALLIANCEBERNSTEIN INVESTMENTS, INC.
June 17, 1991 - March 10, 1994
PACIFICA FUNDS DISTRIBUTOR, INC.
January 10, 1990 - October 10, 1990
AMERICAN FINANCE GROUP SECURITIES CORP.
April 10, 1984 - November 28, 1989
VMS SECURITIES, INC.
November 28, 1983 - March 13, 1984
INVESCO CAPITAL MARKETS, INC.
October 9, 1980 - July 1, 1983
PETERSON, DIEHL & COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 9/29/1980
Registered Representative ExaminationCurrent Firm
SPOUTING ROCK CAPITAL ADVISORS, LLC
CRD#: 143180 / SEC#: , 8-67539
Contact information
Documents
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.
