Meredith Lyon: 99K Complaint Against Masterman Agency Advisor

Rockland, Maine financial advisor Meredith Lyon (CRD# 6021833) recently received an investor complaint alleging negligence and violation of industry rules. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with United Planners’ Financial Services of America, doing business as The Masterman Agency.

Ms. Lyon’s BrokerCheck report discloses one investor complaint. Filed in May 2024, it alleges that as a representative of United Planners’ Financial Services of America, she breached her fiduciary duty, violated NASD and NYSE conduct rules, breached contract, and acted negligently in connection with an alternative investment. The pending complaint alleges damages of $99,999.

The Masterman Agency’s website includes a profile of Ms. Lyon in which she describes her approach to working with her clients. “As a Financial Advisor, I am dedicated to learning about your personal goals,” she explains. “I believe a portfolio must reflect your personal or business situation, morals etc., and so I will work to highlight the financial security products that best fit your goals. Once your custom tailored portfolio is in place, we will continue working together to review achievements against your stated aims, and ensure you are comfortable everything is moving forward according to plan.”

According to the Financial Industry Regulatory Authority, Meredith Lyon holds nine years of securities industry experience. Based in Rockland, Maine, she has been registered as a broker and an investment advisor with United Planners’ Financial Services of America since 2017, doing business as The Masterman Agency. Her past registrations include Ameriprise Financial Services (Camden, Maine; 2017) and Raymond James Financial Services (Camden, Maine; 2015-2017). Her credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. She is licensed in Florida, Georgia, Idaho, Maine, Maryland, Massachusetts, New Jersey, New York, North Carolina, Oregon, Pennsylvania, and Virginia. (Information current as of June 16, 2024.)

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