Lance E. Peters

NAUTICAL STAR FINANCIAL GROUP LLC

Las Colinas, TX 75062

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CRD#: 2197862

Professional summary

Lance Eric Peters, AIF® is a registered financial advisor currently at NAUTICAL STAR FINANCIAL GROUP LLC located in Las Colinas, Texas.

Lance is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Lance has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, 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.

1. 1/22/2015: NO BUSINESS NAME - INVESTMENT RELATED - ISSAQUAH, WA - REAL ESTATE RENTAL - STARTED 02/01/2014 - 2 HOURS PER MONTH/0 HOURS DURING SECURITIES TRADING - RENTING OUT PERSONAL RV PERIODICALLY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lance Eric Peters'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

November 19, 2021 - Present

NAUTICAL STAR FINANCIAL GROUP LLC

Office #1: 511 East John Carpenter Freeway Suite 500, Las Colinas, TX 75062

RIA

CRD#: 316426

Las Colinas, TX

Past

November 5, 2018 - August 12, 2021

SPOTLIGHT ASSET GROUP

RIA

CRD#: 288076

Irving, TX

Past

December 24, 2014 - November 6, 2018

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

RIA

CRD#: 151298

Bellevue, WA

Past

December 15, 2014 - November 20, 2018

LPL FINANCIAL LLC

CRD#: 6413

BELLEVUE, WA

Past

October 6, 2004 - December 17, 2014

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

BELLEVUE, WA

Past

October 6, 2004 - December 17, 2014

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

BELLEVUE, WA

Past

May 1, 2002 - October 7, 2004

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, NJ

Past

January 14, 2002 - October 7, 2004

HARRISDIRECT LLC

RIA

CRD#: 42159

SEATTLE, WA

Past

December 13, 2001 - May 1, 2002

HARRIS INVESTORLINE INC.

CRD#: 6362

SEATTLE, WA

Past

August 27, 1997 - December 11, 2001

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

February 6, 1992 - September 26, 1996

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

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

Idaho
(6/20/2023)

IAR

Texas
(11/19/2021)

IAR

Washington
(12/17/2021)

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: 4/25/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/11/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/14/1994

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/8/1992

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/4/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/4/2005

General Securities Principal Examination

Current Firm

NAUTICAL STAR FINANCIAL GROUP LLC

CRD#: 316426 / SEC#:

Idaho

Registered Investment Advisory firm - (6/20/2023 Approved)

Nevada

Registered Investment Advisory firm - (10/17/2024 Approved)

Texas

Registered Investment Advisory firm - (11/19/2021 Approved)

Washington

Registered Investment Advisory firm - (12/17/2021 Approved)

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Contact information

Main Address

511 East John Carpenter Freeway Suite 500, Las Colinas, TX 75062

Mailing Address

Phone number

(800) 385-1804

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	151
AUM (Assets Under Management)	$ 38,515,741

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 E. Peters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lance Eric Peters's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPOTLIGHT ASSET GROUP

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

LPL FINANCIAL LLC

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

HARRISDIRECT LLC

HARRISDIRECT LLC

HARRIS INVESTORLINE INC.

LPL FINANCIAL LLC

VERAVEST INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/25/1995

Series 63

Date: 2/11/1992

SIE

Date: 10/1/2018

Series 7

Date: 4/14/1994

Series 22

Date: 12/8/1992

Series 6

Date: 2/4/1992

Series 24

Date: 5/4/2005

Current Firm

NAUTICAL STAR FINANCIAL GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NAUTICAL STAR FINANCIAL GROUP LLC

TRUST BUT VERIFY

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