Neil G. Lance

EFS ADVISORS

Snohomish, WA

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CRD#: 2768092

Professional summary

Neil Gregory Lance, who also goes by Neil G Lance, Neil Gregory Lance, Neil Lance, is a registered financial advisor currently at EFS ADVISORS located in Snohomish, Washington and ADVANCED ADVISOR GROUP, LLC located in Snohomish, Washington.

Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Neil has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, Series 62, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Neil G Lance | Neil Gregory Lance | Neil Lance

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.

President Street Global, LLC, an investment-related business located at 32 Shrewsbury Ave, Red Bank, NJ 07701. President Street Global is a Broker Dealer being used for private placement transactions. My position there is Chief Compliance Officer as of 2/15/23. This work consists of approximately 5-10 hours per month, with less than 5 hours being worked outside of market hours. My position there is directing the compliance functions customarily associated with a CCO position for what will see perhaps 1 - 3 private placement transactions per year. PSG also has a registered sales supervisor who directly supervises one advisor, a FINOP, and administrative support.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Gregory Lance's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 25, 2023 - Present

EFS ADVISORS

RIA

CRD#: 115211

Snohomish, WA

Current

June 5, 2023 - Present

ADVANCED ADVISOR GROUP, LLC

RIA

CRD#: 140393

Snohomish, WA

Current

April 6, 2023 - Present

ADVANCED ADVISOR GROUP, LLC

RIA

CRD#: 140393

Snohomish, WA

Past

February 16, 2023 - June 16, 2023

PRESIDENT STREET GLOBAL, LLC

CRD#: 318377

RED BANK, NJ

Past

February 1, 2023 - February 27, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BELLEVUE, WA

Past

March 22, 2022 - May 20, 2022

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

EVERETT, WA

Past

March 22, 2022 - May 20, 2022

CRD#: 6413

BELLEVUE, WA

Past

March 10, 2004 - February 16, 2007

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

LYNNWOOD, WA

Past

March 10, 2004 - February 16, 2007

WAMU INVESTMENTS, INC.

CRD#: 599

LYNNWOOD, WA

Past

October 20, 2003 - February 23, 2004

CRD#: 665

MINNEAPOLIS, MN

Past

October 1, 1996 - August 28, 2000

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EFS ADVISORS

EDUCATOR'S FINANCIAL SERVICES, INC. | EFS ADVISORS LLC | EFS ADVISORS

CRD#: 115211 / SEC#: 801-62857

RIA

Registered Investment Advisory firm - (3/11/2004 Approved)

Iowa

Registered Investment Advisory firm - (6/29/2004 Terminated)

North Dakota

Registered Investment Advisory firm - (7/26/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Iowa
(4/10/2023)

IAR

Minnesota
(4/25/2023)

Minnesota
(7/14/2023)

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

EFS ADVISORS

EDUCATOR'S FINANCIAL SERVICES, INC. | EFS ADVISORS LLC | EFS ADVISORS

CRD#: 115211 / SEC#: 801-62857

RIA

Registered Investment Advisory firm - (3/11/2004 Approved)

Iowa

Registered Investment Advisory firm - (6/29/2004 Terminated)

North Dakota

Registered Investment Advisory firm - (7/26/2004 Terminated)

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Contact information

Main Address

1995 East Rum River Drive S, Cambridge, MN 55008

Mailing Address

Phone number

(763) 689-9023

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFS ADV PART 2 BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	29,714
AUM (Assets Under Management)	$ 2,271,853,092

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.

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Advisor Monitoring

Firm Stability Insights

Neil G. Lance

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Gregory Lance's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVANCED ADVISOR GROUP, LLC

ADVANCED ADVISOR GROUP, LLC

PRESIDENT STREET GLOBAL, LLC

FIDELITY BROKERAGE SERVICES LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

SCS

LPL FINANCIAL LLC

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

LANCE FINANCIAL, INC.

PIPER SANDLER & CO.

PIPER SANDLER & CO.

WAMU INVESTMENTS, INC.

Primary Firm SEC Registration

EFS ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/2/2002

Series 63

Date: 7/18/1996

Series 52TO

Date: 1/2/2023

Series 62

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/30/1996

Series 24

Date: 5/7/2007

FINRA

Current Firm

EFS ADVISORS

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EFS ADVISORS

TRUST BUT VERIFY

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