Lance H. Mathis
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 H Mathis, who also goes by Lance Herrin Mathis, was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1996. Lance had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2009 - March 24, 2014
WELLS FARGO SECURITIES, LLC
September 11, 2007 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 22, 2007 - September 12, 2007
WELLS FARGO INVESTMENTS, LLC
May 29, 2001 - November 2, 2001
WELLS FARGO SECURITIES INC.
November 2, 2000 - September 12, 2007
WELLS FARGO INVESTMENTS, LLC
September 25, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
August 25, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 12, 1998 - August 16, 2000
UBS FINANCIAL SERVICES INC.
August 26, 1996 - January 13, 1998
WELLS FARGO BROKERAGE SERVICES, L.L.C.
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
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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