Lance F. Klima
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 Frank Klima, who also goes by Lance F Klima, was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1992. Lance had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2024 - February 24, 2026
STORY3 ADVISORS LLC
August 24, 2015 - March 30, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 24, 2009 - August 25, 2015
GUGGENHEIM SECURITIES, LLC
May 17, 1998 - March 5, 2008
J.P. MORGAN SECURITIES LLC
April 20, 1992 - April 28, 1998
JPMSI
State Registrations and Notice Filings
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Exams
Current Firm
STORY3 ADVISORS LLC
CRD#: 289456 / SEC#: , 8-69997
Contact information
FINRA licenses (6 States and Territories)
Documents
Red Flags
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