David Lyons has been Chief Compliance Officer (01/2021) and Managing Director and Treasurer (09/2000) and Executive Committee of Lowe, Brockenbrough & Company since September 2000, is a control person of the firm and directly owns between 5% and 10% of it. David Lyons holds a B.S. in Business Administration from the University of Richmond and an M.B.A. from Johns Hopkins University.
Lowe, Brockenbrough & Company, Inc. is a Richmond, VA firm with $5.49B under management, 568 clients and 15 advisers in one office, as of its May 2026 filing.
David A. Lyons is Managing Director, Chief Operating Officer and Chief Compliance Officer of Brockenbrough. He is a member of the firm's Executive Committee and is responsible for the firm's operations and for implementing and monitoring the policies and procedures that support its compliance program. He joined the firm in 1996; before that he was Vice President, Institutional Marketing, at T. Rowe Price Retirement Plan Services.
Professional designations
Listed by Lowe, Brockenbrough & Company
- CFA
Investment adviser representative registrations
David Lyons is registered as an investment adviser representative in Virginia, since June 1996.
- VirginiaSince 25 June 1996
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 16 December 1999 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 1 April 1999 |
| Series 65 | Uniform Investment Adviser Law Examination | 8 December 1993 |
| Series 7 | General Securities Representative Examination | 18 December 1990 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Full name
- David Allen Lyons
- CRD
- 1624727
- Firm
- Lowe, Brockenbrough & Company · CRD 105142
- Role
- Chief Compliance Officer (01/2021); Managing Director; Treasurer (09/2000) ; Executive Committee
- Office
- 920 LIBBIE AVE., SUITE 201, Richmond, VA 23226-2050
- Registration
- Investment adviser registration
- In the industry since
- June 1996
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- brockenbroughinc.com
Where does David Lyons work?
David Lyons has been Chief Compliance Officer (01/2021); Managing Director; Treasurer (09/2000) ; Executive Committee of Lowe, Brockenbrough & Company, Inc. since September 2000, and is a control person of the firm.
Is David Lyons a financial advisor?
Yes. David Lyons has a current investment-adviser registration in Virginia, through Lowe, Brockenbrough & Company since June 1996.
How many years of experience does David Lyons have?
David Lyons has 30 years in the financial industry, since June 1996, across 1 adviser firm.
What exams has David Lyons passed?
David Lyons has passed 4 licensing exams: the Series 7, Series 65, Series 6 and Series 63. The earliest, the Series 7, was passed in December 1990.
Where is David Lyons based?
David Lyons’ registered office is in Richmond, VA.
Is David Lyons registered with FINRA?
No. David Lyons has no current broker registration.
Is David Lyons a CFA charterholder?
Lowe, Brockenbrough & Company lists David Lyons with the CFA credential (“CFA”) on its website. CFA Institute confirms certification status.
How can I verify David Lyons’ record?
Search CRD 1624727 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Lyons’ full registration record.
Austin Brockenbrough IVManaging Director; President; Executive Committee
Austin Brockenbrough IIIManaging Director & Chairman of the Board
Charles CaravatiManaging Director & Secretary; Executive Committee
Christopher DionManaging Director; Executive Committee
Walter RobertsonManaging Director; Executive Committee
Matthew ShaiaManaging Director; Executive Committee