Lance K. Newcomb
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 Kelii Newcomb, AIF® was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1992. Lance had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2018 - October 17, 2023
RAYMOND JAMES INVESTMENT MANAGEMENT
November 18, 2017 - October 17, 2023
CARILLON FUND DISTRIBUTORS, INC.
August 23, 2012 - November 21, 2017
SCOUT INVESTMENTS, INC.
August 21, 2012 - November 21, 2017
DISTRIBUTION SERVICES, LLC
January 15, 2009 - May 23, 2011
TRANSAMERICA INVESTMENT MANAGEMENT, LLC
July 16, 2008 - August 2, 2012
TRANSAMERICA CAPITAL, LLC
November 30, 1993 - December 31, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 9, 1993 - August 5, 2003
JANUS HENDERSON DISTRIBUTORS US LLC
July 22, 1992 - October 6, 1992
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
RAYMOND JAMES INVESTMENT MANAGEMENT
CRD#: 174904 / SEC#: 801-100356
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
RAYMOND JAMES INVESTMENT MANAGEMENT
CRD#: 174904 / SEC#: 801-100356
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 16,378,977,378 |
Red Flags
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