Lance K. Browning
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 Kirk Browning was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1993. Lance had worked at 3 firms and has passed the Series 63, Series 55 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
July 28, 2010 - September 11, 2012
NEWPORT COAST SECURITIES, INC.
March 13, 2000 - August 1, 2008
RAYMOND JAMES & ASSOCIATES, INC.
March 12, 1998 - March 15, 2000
LEGG MASON WOOD WALKER, INCORPORATED
August 20, 1993 - January 26, 1998
RAYMOND JAMES & ASSOCIATES, 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
Series 55
Date: 11/7/1998
Limited Representative-Equity Trader ExamCurrent Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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