Lance J. Ziesemer
Professional summary
Lance Jeffrey Ziesemer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lance is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Lance had worked at 5 firms, which includes FELTL ADVISORS, FELTL & COMPANY, WELLS FARGO CLEARING SERVICES LLC, AMERIPRISE ADVISOR SERVICES INC., WESTONKA INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2014 - February 3, 2016
FELTL ADVISORS
May 9, 2007 - February 3, 2016
FELTL & COMPANY
September 23, 2005 - May 2, 2007
WELLS FARGO CLEARING SERVICES, LLC
March 26, 2001 - May 2, 2007
WELLS FARGO CLEARING SERVICES, LLC
October 12, 1993 - March 28, 2001
AMERIPRISE ADVISOR SERVICES, INC.
May 19, 1993 - September 28, 1993
WESTONKA INVESTMENTS, INC.
Primary Firm SEC Registration
FELTL ADVISORS
CRD#: 165244 / SEC#: 801-77347
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
Series 8
Date: 8/28/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FELTL ADVISORS
CRD#: 165244 / SEC#: 801-77347
Contact information
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 523 |
| AUM (Assets Under Management) | $ 132,417,421 |
Red Flags
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