Grace H. Lan
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.
Grace Heather Lan, who also goes by Grace H Lan, Grace Lan, Grace Lan Schlichter, Grace Heather Schlichter, was a registered financial professional .
Grace is a previously registered financial professional and started their career in finance in 1986. Grace had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2021 - February 14, 2023
ASPIRIANT, LLC
February 24, 2020 - December 31, 2021
HEARTHSTONE | PRIVATE WEALTH MANAGEMENT
January 11, 2007 - November 29, 2019
CHARLES SCHWAB & CO., INC.
June 13, 2006 - December 15, 2006
GIRARD SECURITIES, INC.
March 19, 1987 - April 13, 1992
KIDDER, PEABODY & CO. INCORPORATED
July 23, 1986 - March 18, 1987
GRIFFIN FINANCIAL SERVICES
Primary Firm SEC Registration
ASPIRIANT, LLC
CRD#: 146720 / SEC#: 801-68987
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
ASPIRIANT, LLC
CRD#: 146720 / SEC#: 801-68987
Contact information
SEC notice filing (37 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,731 |
| AUM (Assets Under Management) | $ 15,532,934,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 12/20/2023 | ||
| 01/27/2023 |
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.
