Lance Bright
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.
Lance Bright, who also goes by Lance Thomas Bright, was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1992. Lance had worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2021 - July 7, 2021
EMPOWER FINANCIAL SERVICES, INC.
April 30, 2020 - April 21, 2021
WADDELL & REED
April 30, 2020 - April 30, 2021
IVY DISTRIBUTORS, INC.
August 21, 2017 - January 7, 2020
CETERA ADVISORS LLC
August 18, 2017 - January 7, 2020
CETERA ADVISORS LLC
April 3, 2009 - August 18, 2017
OPPENHEIMER & CO. INC.
April 3, 2009 - August 18, 2017
OPPENHEIMER & CO. INC.
July 3, 2003 - April 21, 2009
CITIGROUP GLOBAL MARKETS INC.
June 9, 2003 - April 21, 2009
CITIGROUP GLOBAL MARKETS INC.
September 17, 1996 - June 17, 2003
AMERIPRISE ADVISOR SERVICES, INC.
August 18, 1994 - September 12, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 18, 1994 - September 12, 1996
EQUITABLE ADVISORS, LLC
September 10, 1992 - February 17, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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