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Detailed Report
JAMES KENNETH LYONS JR
CRD#: 315393
IA
Investment Adviser
B
Broker
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 89B MAIN STREET
LEBANON, NJ 08833
LPL FINANCIAL LLCCRD#: 6413 LEBANON, NJ
Registration History
1970197519801985199019952000200520102015202020252 FIRMS2003 - 2004 (1 year)2 FIRMS2004 - 2012 (7 years)2 FIRMS2012 - Present (13 years)BDREYFUS SERVICE CORPORATION (CRD# 231)2000 - 2003 (3 years)BFIRST MONTAUK SECURITIES CORP. (CRD# 13755)1996 - 2000 (3 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1991 - 1996 (5 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1991 (3 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1966 - 1988 (22 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 572)1966 - 1977 (11 years)IADREYFUS SERVICE CORPORATION (CRD# 231)2002 - 2003 (1 year)
Disclosure(s)
View By:
3/12/2010
Customer Dispute
Settled
9/25/2008
Customer Dispute
Settled
License(s)

State Registrations

B
California 5/16/2024
B
New Jersey 2/17/2012
B
Connecticut 7/23/2019
IA
New Jersey 2/27/2012
B
Florida 5/9/2017
B
New York 2/17/2012

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRIVATE ADVISOR GROUP, LLC (CRD#:155216)
89B MAIN STREET, LEBANON, NJ 08833
Registered with this firm since 2/27/2012
B
LPL FINANCIAL LLC (CRD#:6413)
LEBANON, NJ
Registered with this firm since 2/17/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/18/2004 - 02/17/2012 PNC INVESTMENTS (CRD#:129052) FANWOOD, NJ
B
 11/18/2004 - 02/17/2012 PNC INVESTMENTS (CRD#:129052) FANWOOD, NJ
IA
 11/13/2003 - 11/24/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) WEST CALDWELL, NJ
B
 11/13/2003 - 11/24/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
 05/09/2002 - 11/03/2003 DREYFUS SERVICE CORPORATION (CRD#:231) PARAMUS, NJ
B
 06/05/2000 - 11/03/2003 DREYFUS SERVICE CORPORATION (CRD#:231) NEW YORK, NY
B
 11/25/1996 - 05/30/2000 FIRST MONTAUK SECURITIES CORP. (CRD#:13755) RED BANK, NJ
B
 12/06/1991 - 12/03/1996 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 04/11/1988 - 12/04/1991 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 01/07/1966 - 04/11/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
 01/10/1966 - 08/06/1977 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (CRD#:572)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.