Lance Oman
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 Oman, who also goes by Lance A Oman, Lance Alan Oman, was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1991. Lance had worked at 11 firms and has passed the Series 63, SIE 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
December 5, 2019 - May 9, 2025
T. ROWE PRICE ASSOCIATES, INC.
December 2, 2019 - May 9, 2025
T. ROWE PRICE INVESTMENT SERVICES, INC.
November 7, 2016 - July 1, 2019
FORESIDE FUND SERVICES, LLC
July 21, 2015 - October 17, 2016
NYLIFE DISTRIBUTORS LLC
January 31, 2014 - June 23, 2015
FIDELITY DISTRIBUTORS COMPANY LLC
May 23, 2012 - January 22, 2014
TCW FUNDS DISTRIBUTORS LLC
November 5, 2009 - December 12, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
May 8, 2008 - December 31, 2009
BLACKROCK EXECUTION SERVICES
February 4, 1994 - April 17, 2008
CHARLES SCHWAB & CO., INC.
May 20, 1993 - January 21, 1994
AMERIPRISE ADVISOR SERVICES, INC.
December 20, 1991 - May 18, 1993
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
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
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,924 |
| AUM (Assets Under Management) | $ 1,934,233,243,730 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 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.
