Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lyon is a financial advisor at LPL Financial LLC, based in The Woodlands, TX. James has been in the industry since 1992 and has a strong track record of providing financial guidance to individuals, families, and businesses. James holds the Series 7, Series 6, Series 63, Series 24, and Series 26 licenses, and is registered with the states of Texas and Florida. James provides a variety of financial services, including financial planning, portfolio management, and retirement planning.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Consulting and other non-discretionary advisory services
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.
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2
TX
10/17/2002 - Present
LPL Financial LLC (THE WOODLANDS TX)
KS
09/29/1992 - 10/30/2002
WADDELL & REED, INC. (OVERLAND PARK KS)
BC
Issued 04/16/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/21/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/07/2003
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2003
Series 7 - General Securities Representative Examination
BC
Issued 09/28/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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