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	2002-10-17

TX RA
APPROVED

Since 2002-10-17

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	10/2002	Present

10/2002 → Present

Lpl Financial Llc

The Woodlands, TX

Previous Registrations

1993-04-19 → 2002-10-30

Waddell & Reed

Houston, TX

Other Businesses

1. 10/25/2002: NON-VARIABLE INSURANCE - OUTSIDE SALES OF NON-VARIABLE INSURANCE. - THE WOODLANDS, TX. 2. 2/8/2011: DBA ONLY - WWB WOODLANDS WEALTH BUILDERS - INCORPORATING EXISTING BUSINESS. - TIME SPENT 100% - THE WOODLANDS, TX. 3. 8/28/2019 - Sovereign Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/26/2019 - 100 Hours Per Month/8 Hours During Securities Trading. 4. 05/23/2025 - The Speed Vault LLC - Not Investment Related - Business Entity For Tax/Investment Purposes Only - Magnolia, TX - Started 05/01/2025 - 5 Hours Per Month/0Hours During Securities Trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1993-04-16

S63 Uniform Securities Agent State Law Examination

1993-04-16

Other Names

James Floyd Lyon
Jim Lyon

View on SEC IAPD