Robert A. La Chance
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Augustus Armand La Chance, who also goes by Robert La Chance, Robert Aa Lachance Jr, Robert Augustus Armand Lachance Jr, Robert Augustus Armand Lachange Jr, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1985. Robert had worked at 19 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2015 - May 27, 2015
SPC
January 28, 2015 - May 27, 2015
SIGMA FINANCIAL CORPORATION
March 6, 2013 - September 22, 2014
MUSTARD SEED FINANCIAL
November 17, 2009 - February 26, 2013
MML INVESTORS SERVICES, LLC
November 17, 2009 - February 26, 2013
MML INVESTORS SERVICES, LLC
September 20, 2007 - January 28, 2009
INTERMOUNTAIN FINANCIAL SERVICES, INC.
January 2, 2007 - February 26, 2009
WEALTH DYNAMICS ADVISORY
February 7, 2006 - August 21, 2006
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
February 7, 2006 - August 21, 2006
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
March 12, 2004 - June 20, 2005
PRIVATE CONSULTING GROUP, INC.
March 12, 2004 - June 20, 2005
PRIVATE CONSULTING GROUP, INC.
April 4, 2003 - March 29, 2004
OSAIC FA, INC.
February 26, 2003 - March 29, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 26, 2003 - March 29, 2004
OSAIC FA, INC.
July 11, 2001 - November 2, 2001
WELLS FARGO INVESTMENTS, LLC
July 1, 1999 - July 11, 2001
WELLS FARGO SECURITIES, LLC
April 5, 1999 - July 1, 1999
FIRST SECURITY INVESTOR SERVICES, INC.
April 22, 1998 - March 29, 1999
PRINCIPAL SECURITIES, INC.
October 25, 1994 - October 31, 1995
ROBERT W. BAIRD & CO. INCORPORATED
October 25, 1994 - February 2, 1996
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 19, 1994 - September 23, 1994
JOHN HANCOCK DISTRIBUTORS LLC
March 3, 1989 - October 22, 1992
ROBERT W. BAIRD & CO. INCORPORATED
March 3, 1989 - October 22, 1992
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 2, 1987 - December 1, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
November 25, 1985 - November 16, 1987
FSC SECURITIES CORPORATION
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
