Lance W. Riddle

OPTIMALFOLIOS

Dallas, TX 75244

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CRD#: 2195144

Professional summary

Lance Wayne Riddle, CFP® is a registered financial advisor currently at OPTIMALFOLIOS, LLC located in Dallas, Texas.

Lance is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Lance has worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1992 to Present - INDEPENDENT INSURANCE AGENT - 50% of his time on this activity with some during market hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lance Wayne Riddle's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

January 9, 2019 - Present

OPTIMALFOLIOS, LLC

Office #1: 4100 Spring Valley Road Suite 830, Dallas, TX 75244

RIA

CRD#: 149602

Dallas, TX

Past

April 3, 2009 - December 31, 2018

OPTIMALFOLIOS, LLC

RIA

CRD#: 149602

IRVING, TX

Past

February 18, 2009 - October 14, 2009

CALTON & ASSOCIATES, INC.

CRD#: 20999

DALLAS, TX

Past

January 12, 2001 - February 23, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

DALLAS, TX

Past

January 12, 2001 - February 23, 2009

LPL FINANCIAL LLC

CRD#: 6413

DALLAS, TX

Past

July 10, 1998 - January 30, 2001

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 17, 1996 - July 14, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 31, 1993 - July 8, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 4, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

December 16, 1991 - July 28, 1992

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(1/9/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/31/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/17/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/2/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/13/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/12/2001

General Securities Principal Examination

Current Firm

OPTIMALFOLIOS, LLC

CAPITALGUARD, LLC | TIOGA WEALTH MANAGEMENT, LLC | TEXOMA CAPITAL, LLC | RIDDLE ASSET MANAGEMENT, LLC | OPTIMALFOLIOS, LLC

CRD#: 149602 / SEC#:

Texas

Registered Investment Advisory firm - (1/9/2019 Approved)

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Contact information

Main Address

4100 Spring Valley Road Suite 830, Dallas, TX 75244

Mailing Address

Phone number

(972) 999-1042

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	84
AUM (Assets Under Management)	$ 12,580,225

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.

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Advisor Monitoring

Firm Stability Insights

Lance W. Riddle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lance Wayne Riddle's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPTIMALFOLIOS, LLC

CALTON & ASSOCIATES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/31/1992

Series 63

Date: 1/17/1992

Series 7

Date: 12/2/1992

Series 6

Date: 12/13/1991

Series 24

Date: 3/12/2001

Current Firm

OPTIMALFOLIOS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OPTIMALFOLIOS, LLC

TRUST BUT VERIFY

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