Lance Deal
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 Deal, who also goes by Lance Walter Deal, was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 2006. Lance had worked at 9 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2016 - November 1, 2018
MORGAN STANLEY DISTRIBUTION, INC.
July 28, 2016 - November 1, 2018
MORGAN STANLEY & CO. LLC
July 28, 2016 - November 1, 2018
MORGAN STANLEY
July 28, 2016 - November 19, 2018
PRIME DEALER SERVICES CORP.
May 29, 2013 - August 27, 2014
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
May 29, 2013 - August 27, 2014
UBS FINANCIAL SERVICES INC.
January 16, 2013 - March 20, 2013
TD AMERITRADE, INC.
September 14, 2007 - March 20, 2013
TD AMERITRADE CLEARING, INC.
September 19, 2006 - November 10, 2006
TD AMERITRADE, INC.
September 19, 2006 - September 17, 2007
NATIONAL INVESTOR SERVICES CORP.
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
MORGAN STANLEY DISTRIBUTION, INC.
CRD#: 30344 / SEC#: , 8-44766
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY INVESTMENT MANAGEMENT INC. | OWNER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER AND FINOP | 7463692 |
| MCMULLEN, FREDERICK ALLEN | DIRECTOR AND TEXAS DESIGNATED PRINCIPAL | 2537409 |
| SCHOEN, SAMANTHA JANE | DIRECTOR | 7006907 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT AND DIRECTOR | 2034689 |
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.
