Lance C. Lemons
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 C Lemons, who also goes by Lance Clarke Lemons, Lance Lemons, was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1997. Lance had worked at 3 firms and has passed the Series 65, Series 6 and Series 2 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2020 - May 24, 2022
EATON VANCE WATEROAK ADVISORS
February 16, 2007 - December 11, 2020
WATER OAK ADVISORS, LLC
February 14, 1997 - January 16, 2007
CAPITAL MANAGEMENT GROUP
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 2
Date: 4/19/1996
Non-Member General Securities ExaminationCurrent Firm
EATON VANCE WATEROAK ADVISORS
CRD#: 132047 / SEC#: 801-63334
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,607 |
| AUM (Assets Under Management) | $ 14,592,102,806 |
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.
Company Information
EATON VANCE WATEROAK ADVISORS
Director, SoutheastCRD#: 132047TRUST BUT VERIFY
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