Lance Edwin Stephens
CFP®Professional Summary
Lance Edwin Stephens, CFP® is a registered financial advisor currently at DISTRIBUTION SERVICES, LLC located in Portland, Maine. Lance is registered as a RR (Registered Representative) and started their career in finance in 1994. Lance has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
PFS INVESTMENTS INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
PFS INVESTMENTS INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
PFS INVESTMENTS INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
PFS INVESTMENTS INC.
Credentials
Years of Experience
32 years in the financial services industry
Current & Past Employments
Similar Advisors
PFS INVESTMENTS INC.
Current Firm
DISTRIBUTION SERVICES, LLC | UMB DISTRIBUTION SERVICES, LLC | SUNSTONE FINANCIAL GROUP, INC. | SUNSTONE DISTRIBUTION SERVICES, LLC
Contact Information
Main Address
190 Middle Street Suite 301, Portland, ME 04101Mailing Address
190 Middle Street Suite 301, Portland, ME 04101Phone Number
(866) 251-6920Established
Wisconsin since 09/27/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | — |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| TAYLOR, GORDON BURDETTE | VP, CHIEF COMPLIANCE OFFICER | 2990648 |
Similar Advisors
PFS INVESTMENTS INC.
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
PFS INVESTMENTS INC.
State Registrations and Notice Filings
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/19/2018)
(6/18/2018)
(6/19/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(1/6/2023)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(1/6/2023)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
(6/18/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
PFS INVESTMENTS INC.
CRS (Client Relationship Summary) - BD
Click below to view Lance Edwin Stephens's CRS (Customer Relationship Summary).
Similar Advisors
PFS INVESTMENTS INC.
