James Floyd Lyon

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-01-22

TX RA
APPROVED

Since 2024-01-22

Branch Locations

9595 Six Pines Dr Ste 6330, The Woodlands, TX 77380 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	The Woodlands	TX	05/2023	Present
The Woodlands High School	The Woodlands	TX	08/2014	05/2019
Baylor University	Waco	TX	08/2019	05/2023

05/2023 → Present

Lpl Financial Llc

The Woodlands, TX
08/2014 → 05/2019

The Woodlands High School

The Woodlands, TX
08/2019 → 05/2023

Baylor University

Waco, TX

Other Businesses

1) 07/21/2023 - Woodlands Wealth Builders - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-01-19

S66 Uniform Combined State Law Examination

2024-01-19

Other Names

James F Lyon

View on SEC IAPD