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James Lyons

Private Advisor Group, LLC
60 Years of Experience
Lebanon, NJ
2 DisclosuresBroker
View SEC Summary
View SEC Summary

James Lyons is a registered investment advisor at Private Advisor Group, LLC, based in Lebanon, NJ, with 60 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Insurance Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 142,225 clients with $44B in assets under management.

Private Advisor Group, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
930 advisors
Number of Clients
142,225 clients
Average Client Portfolio
$312K average
Assets Under Management
$44.3B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum annual fee is 2.00%, negotiable based on assets, account composition, and complexity.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

89B Main Street, Lebanon, NJ, 08833

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2010
Settled
Customer Dispute
September 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is a registered investment advisor with Private Advisor Group, offering financial planning services on an hourly rate or flat fee, dedicating about half of his time. He also operates under the DBA JK Lyons Wealth Management.

Employment History
Current Registrations
Private Advisor Group, LLC
February 2012 - Present · 14 yrs 8 mos
LPL Financial LLCBroker
February 2012 - Present · 14 yrs 8 mos
Previous Registrations
PNC InvestmentsBroker
November 2004 - February 2012 · 7 yrs 3 mos
PNC Investments
November 2004 - February 2012 · 7 yrs 3 mos
Wachovia Securities, LLCBroker
November 2003 - November 2004 · 1 yr
Wachovia Securities, LLC
November 2003 - November 2004 · 1 yr
Dreyfus Service Corporation
May 2002 - November 2003 · 1 yr 6 mos
Dreyfus Service CorporationBroker
June 2000 - November 2003 · 3 yrs 5 mos
First Montauk Securities CORP.Broker
November 1996 - May 2000 · 3 yrs 6 mos
Painewebber IncorporatedBroker
December 1991 - December 1996 · 5 yrs
Lehman Brothers INC.Broker
April 1988 - December 1991 · 3 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
January 1966 - August 1977 · 11 yrs 7 mos
E. F. Hutton & Company INCBroker
January 1966 - April 1988 · 22 yrs 3 mos
State Registrations5 states
CACTFLNJNY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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