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Douglas John Lyons

Oceanic Capital Management LLC

Red Bank, NJ

CRD 1612316

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Employer firm

Oceanic Capital Management LLC CRD 146135

$64.6M regulatory AUM 3 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers

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

Current Employers
Oceanic Capital Management Llc

125 Half Mile Road Suite 200, Red Bank, NJ 07701 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2017-11-03
  • NJ RA
    APPROVED
    Since 2017-11-03

Branch Locations

125 Half Mile Road Suite 200, Red Bank, NJ 07701 • 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
OrganizationCityStateFromTo
Douglas J. Lyons Financial Group Inc. Red Bank NJ 03/2010 Present
Oceanic Capital Management Llc Red Bank NJ 10/2017 Present
Previous Registrations
  • 2010-09-09 → 2018-03-31
    Douglas J. Lyons Financial Group Inc.
    Red Bank, NJ
  • 2008-10-28 → 2010-03-19
    Ubs Financial Services Inc.
    Melville, NY
    Melville, NY
    Weehawken, NJ
    Manasquan, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-27
S63 Uniform Securities Agent State Law Examination 2001-10-05
  • S66 Uniform Combined State Law Examination
    2008-10-27
  • S63 Uniform Securities Agent State Law Examination
    2001-10-05
Designations
  • Certified Financial Planner
  • Chartered Financial Analyst

View on SEC IAPD

Nearby Firms

CLEAR WAVE WEALTH MANAGEMENT, LLC
MILLINGTON SECURITIES, LLC
HARTSHORNE GROUP, LLC

Nearby Investors

MATTHEW FRANK WILK
JOSEPH MICHAEL GALLO
Robert Daniel Morgan

Nearby Offices

CLEAR WAVE WEALTH MANAGEMENT, LLC · RED BANK, NJ
MILLINGTON SECURITIES, LLC · RED BANK, NJ
HARTSHORNE GROUP, LLC · RED BANK, NJ

More in Red Bank, NJ

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