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WILLIAM H LYON
WILLIAM HOWARD LYON
CRD#: 4260205
IA
B
MORGAN STANLEYCRD#: 149777 555 California Street
PWM
San Francisco, CA 94104
PWM
San Francisco, CA 94104
0
Disclosures
22
Years of Experience
View By:
State Registrations
B
Arizona 5/28/2020
B
Nevada 10/23/2018
B
California 6/1/2009
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New Hampshire 5/28/2020
IA
California 6/1/2009
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New Jersey 6/27/2014
B
Colorado 6/1/2009
B
New Mexico 6/1/2009
B
Connecticut 8/15/2017
B
New York 6/1/2009
B
Delaware 2/19/2016
B
North Carolina 10/31/2023
B
District of Columbia 1/11/2022
B
Ohio 2/4/2019
B
Florida 6/1/2009
B
Oregon 6/1/2009
B
Georgia 9/24/2020
B
Pennsylvania 6/1/2009
B
Hawaii 10/30/2023
B
Puerto Rico 1/4/2023
B
Idaho 6/1/2009
B
Rhode Island 10/31/2023
B
Illinois 6/1/2009
B
South Carolina 12/7/2021
B
Iowa 9/4/2023
B
South Dakota 10/23/2018
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Kansas 10/30/2023
B
Tennessee 6/1/2009
B
Kentucky 1/18/2022
B
Texas 6/1/2009
B
Maine 11/30/2021
IA
Texas 6/1/2009
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Maryland 12/7/2021
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Utah 10/31/2023
B
Massachusetts 6/1/2009
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Virginia 6/1/2009
B
Michigan 10/26/2016
B
Washington 6/1/2009
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Minnesota 6/1/2009
B
Wisconsin 5/19/2021
B
Montana 2/12/2019
B
Wyoming 1/19/2023
SRO Registrations
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/13/2007 - 06/01/2009 | SAN FRANCISCO, CA | |
B | 07/13/2007 - 06/01/2009 | SAN FRANCISCO, CA | |
IA | 03/30/2005 - 07/25/2007 | SAN FRANCISCO, CA | |
B | 02/28/2005 - 07/25/2007 | SAN FRANCISCO, CA | |
B | 08/27/2002 - 03/02/2005 | NEW YORK, NY | |
B | 03/27/2001 - 08/24/2001 | SAN FRANCISCO, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.