Michael V. Lyons
Professional summary
Michael Vincent Grimaldi Lyons, who also goes by Michael VIncent Lyons, Michael Lyons, Mike Vincent Lyons, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Charlotte, North Carolina.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2022. Michael has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Vincent Grimaldi Lyons's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 21, 2023 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 401 Mccullough Dr Ste 200, Charlotte, NC 28262July 29, 2022 - November 24, 2023
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/21/2023)
Exams
Series 7TO
Date: 7/29/2022
General Securities Representative ExaminationFINRA
Current Firm
PRINCIPAL FUNDS DISTRIBUTOR, INC.
CRD#: 43261 / SEC#: , 8-50200
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | OWNER | |
| BERG, JOHN THOMAS | DIRECTOR | 7973551 |
| CLINES, SEAN THOMAS | CHIEF FINANCIAL OFFICER | 3055601 |
| DESSOUKI, RAMONA HIATT | CHIEF MARKETING OFFICER | 7812577 |
| HILL, TIMOTHY ALLEN | NATIONAL SALES MANAGER/DIRECTOR | 2317289 |
| HOESKE, DINA ROMEO | SENIOR DIRECTOR - FUND SHAREHOLDER SERVICES | 2704646 |
| MURRAY, MICHAEL FRANCIS | DIRECTOR | 2074275 |
| SCHOLTEN, MICHAEL JOSEPH | PRINCIPAL OPERATIONS OFFICER | 6388259 |
| STOCKMAN, MICHELLE RENEE | CHIEF COMPLIANCE OFFICER | 5010490 |
| WONG, BRANT K | PRESIDENT/DIRECTOR (CHAIRMAN) | 5093714 |
Red Flags
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