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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Lyon is a financial advisor with Wells Fargo Clearing Services, LLC. Adam has been in the industry since 1995 and has a strong track record of providing personalized financial advice to individuals and families. Adam specializes in helping clients with retirement planning, college savings, and investment management. Adam is a licensed investment advisor and is registered with the state of California. He holds the Series 7, Series 9, Series 10, and Series 63 licenses. In addition to his work with Wells Fargo Clearing Services, LLC, Adam is also involved in the community and is a member of the Walnut Creek Chamber of Commerce. Adam is committed to helping his clients achieve their financial goals and is dedicated to providing them with the highest level of service.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
02/09/2017 - Present
Wells Fargo Clearing Services, LLC (WALNUT CREEK CA)
CA
11/22/2013 - 01/13/2017
NORTHERN TRUST SECURITIES, INC. (SAN FRANCISCO CA)
CA
05/06/2002 - 01/30/2013
CANACCORD GENUITY INC. (SAN FRANCISCO CA)
CT
03/01/2002 - 04/19/2002
ABN AMRO INCORPORATED (STAMFORD CT)
NY
11/22/1995 - 03/01/2002
ABN AMRO SECURITIES LLC (NEW YORK NY)
NY
01/27/1995 - 12/22/1995
JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)
IA
Issued 04/12/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/02/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/21/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/16/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/29/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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