Lance C. Newby
Professional summary
Lance Christopher Newby was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lance is a previously registered financial advisor and started their career in finance in 1989. Prior to being barred, Lance had worked at 4 firms, which includes CANTELLA & CO. INC., RAYMOND JAMES FINANCIAL SERVICES INC., ROBERT THOMAS SECURITIES INC, FSC SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2003 - April 22, 2004
CANTELLA & CO., INC.
October 2, 2001 - April 22, 2004
CANTELLA & CO., INC.
January 4, 1999 - July 17, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 3, 1991 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
August 13, 1990 - January 8, 1991
FSC SECURITIES CORPORATION
June 8, 1989 - August 14, 1990
RAYMOND JAMES FINANCIAL SERVICES, INC.
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
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
