Sarah Lyons
J.P. MORGAN SECURITIES LLC
📍 Plano, TX
Works with portfolios under $100K
This advisor uses a fee structure (hourly, flat-fee, or fee-only) or manages a smaller firm, making them accessible to everyday investors. Learn more →
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At a Glance
About This Profile
Sarah Lyons is a registered financial professional with J.P. MORGAN SECURITIES LLC , based in Plano, TX. Their registration is listed in the public FINRA BrokerCheck and SEC IARD databases.
AdvisorFinders' database does not confirm a fiduciary obligation for this listing. Many skilled advisors are not fiduciaries by default. If fiduciary status is important to you — and for most investors it should be — ask Sarah directly whether they act as a fiduciary at all times, and get the confirmation in writing.
Profile data is sourced from the SEC's Investment Adviser Registration Depository (IARD) and FINRA's BrokerCheck — the same public regulatory databases used by state and federal regulators. CRD # 7145127 is the unique identifier assigned to this advisor by FINRA's Central Registration Depository.
Regulatory Information
Data sourced from SEC IARD and FINRA BrokerCheck public databases. Verify on BrokerCheck →
How to Verify This Advisor's Credentials
Always do your own due diligence before hiring any financial advisor. Here's exactly how:
Check FINRA BrokerCheck (free)
Go to brokercheck.finra.org and search CRD # 7145127. You'll see their complete licensing history, any employment gaps, and all reportable disclosures — including customer complaints, regulatory actions, and criminal matters.
Ask the Advisor Directly
Request their Form ADV Part 2 brochure in writing. Any legitimate registered advisor will provide it immediately. Also ask: "Are you a fiduciary at all times?" and "How are you compensated?" The answers — and how quickly they respond — tell you a lot.
Check for Complaints & Disciplinary History
Our Complaint History Lookup tool can help you understand what to look for. BrokerCheck shows disclosed complaints and disciplinary actions, though not all issues are reportable under FINRA rules.
Questions to Ask Sarah Before Hiring
These questions are designed to uncover conflicts of interest, clarify costs, and determine whether this advisor is the right fit for your situation.
"Are you a fiduciary at all times — not just when managing investments?"
This advisor's fiduciary status is not confirmed in our records. Some advisors are fiduciaries only part of the time (e.g., when acting as an RIA but not as a broker). Ask this specifically and in writing.
"How are you compensated, and do you receive any third-party payments?"
Understand every way this advisor makes money — management fees, commissions, referral fees, or 12b-1 fees from mutual funds. Conflicts of interest must be disclosed, but you should ask proactively.
"What is your minimum account size or annual fee?"
Many advisors require $250,000–$1,000,000 or more to take on new clients. If you have a smaller portfolio, ask upfront whether your situation is a good fit.
"What is your investment philosophy, and how do you handle market downturns?"
A good advisor should be able to explain their approach clearly and discuss how they have communicated with and managed clients during volatile periods like 2008, 2020, and 2022.
"Have you ever been disciplined by a regulator or named in a customer complaint?"
You can verify this independently on FINRA BrokerCheck, but asking directly is a good test of transparency. A trustworthy advisor will walk you through any disclosures proactively.
"Who is my primary contact, and how often will we meet?"
At some larger firms, you meet with a senior advisor once but are actually managed by a junior associate. Clarify who handles your account day-to-day and how frequently you'll have formal reviews.
Frequently Asked Questions
Is Sarah Lyons a fiduciary?
This advisor's fiduciary status is not confirmed in AdvisorFinders' public data. You should ask them directly before hiring. If they are an RIA, they may be a fiduciary — if they are primarily a broker, they may only be held to a suitability standard.
What does CRD # 7145127 mean?
The CRD (Central Registration Depository) number is a unique identifier assigned to every registered financial professional and firm in the United States by FINRA. You can use this number to pull a complete regulatory history on FINRA BrokerCheck, including licenses held, employment history, and any disclosed customer complaints or disciplinary actions.
How is AdvisorFinders' data verified?
Every advisor in our database is sourced directly from the SEC's Investment Adviser Registration Depository (IARD) or FINRA's BrokerCheck — the same public regulatory databases used by state and federal regulators. We do not create or modify registration data. Advisors can claim their profiles to add contact info and a bio, but the underlying regulatory information (name, CRD number, registration status, fiduciary standing) is always sourced from official records.
What's the difference between a fiduciary and a non-fiduciary advisor?
A fiduciary must put your interests first — always. A non-fiduciary broker only has to recommend products that are "suitable" for you, which is a lower standard. For example, if two similar mutual funds are available and one pays the broker a higher commission, a fiduciary must recommend the better fund for you. A non-fiduciary broker could legally recommend the higher-commission fund if it meets the suitability threshold.
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