John Lyon has been an investment adviser representative at Rossby Financial since July 2026, and is not listed among the firm’s executive officers or direct owners.
Rossby Financial, LLC is a Melbourne, FL firm with $855M under management, 3,910 clients and 2 advisers across 19 offices, as of its July 2026 filing.
John Lyon’s longest registration was 8 years at Cambridge Investment Research Advisors, Inc. (2018–2026). Before joining Rossby Financial in 2026, John Lyon was registered through Cambridge Investment Research Advisors, Inc. and MML Investors Services, LLC.
- Rossby Financial, LLCCurrent– present · under a yearDurham, NC · Adviser representative · Firm CRD 324631
- Cambridge Investment Research Advisors, Inc.– · 8 yearsDurham, NC · Adviser representative · Firm CRD 134139
- MML Investors Services, LLC– · 2 yearsDurham, NC · Adviser representative · Firm CRD 10409
- New England Securities Corporation– · 2 yearsRaleigh, NC · Adviser representative · Firm CRD 615
Investment adviser representative registrations
John Lyon is registered as an investment adviser representative in North Carolina, since July 2026.
- North CarolinaSince 30 July 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 19 December 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 February 2006 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 14 January 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- John Haywood Lyon
- CRD
- 5004653
- Firm
- Rossby Financial · CRD 324631
- Office
- Durham, NC
- Registration
- Investment adviser registration
- In the industry since
- July 2006
- Disciplinary history
- Not yet shown here · SEC record
Where does John Lyon work?
John Lyon is an investment adviser representative registered through Rossby Financial, LLC since July 2026, and is not listed among the firm’s executive officers or direct owners.
Is John Lyon a financial advisor?
Yes. John Lyon has a current investment-adviser registration in North Carolina, through Rossby Financial since July 2026.
How many years of experience does John Lyon have?
John Lyon has 20 years in the financial industry, since July 2006, across 4 adviser firms.
What exams has John Lyon passed?
John Lyon has passed 3 licensing exams: the Series 6, Series 63 and Series 65. The earliest, the Series 6, was passed in January 2006. FINRA credited John Lyon with the SIE, which began in October 2018.
Where did John Lyon work before Rossby Financial?
Before Rossby Financial, John Lyon was registered through MML Investors Services, LLC, May 2015 to December 2017; New England Securities Corporation, May 2012 to November 2014.
Where is John Lyon based?
John Lyon’s registered office is in Durham, NC.
Is John Lyon registered with FINRA?
No. John Lyon has no current broker registration.
How can I verify John Lyon’s record?
Search CRD 5004653 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Lyon’s full registration record.
- Marissa HarrisCCO
- Melissa ReaktenwaltEmployee Ownership - Class A and B Shares
- Kelly RennerEmployee Ownership - Class B Shares
- Jason RennerEmployee Ownership - Class B Shares
- Jennifer SzeklinskiEmployee Ownership - Class A and B Shares
- Frances TolerEmployee Ownership - Class B Shares
- Andrew EvansCEO
- Christopher MarsicoMember