Lance F. Klima
Professional summary
Lance Frank Klima, who also goes by Lance F Klima, is a registered financial professional currently at STORY3 ADVISORS LLC located in Pacific Palisades, California.
Lance is registered as a RR (Registered Representative) and started their career in finance in 1992. Lance has 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) - BD
Click below to view Lance Frank Klima's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 7, 2024 - Present
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
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
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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