Lance J. Weislak
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 Joseph Weislak, who also goes by Lance J Weislak, was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 2000. Lance had worked at 2 firms and has passed the Series 63, SIE, Series 50, Series 79, Series 52, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2018 - November 14, 2018
WULFF, HANSEN & CO.
July 31, 2015 - September 29, 2017
WULFF, HANSEN & CO.
July 24, 2000 - March 22, 2002
ELECTRONIC TRADING GROUP, LLC
Primary Firm SEC Registration
WULFF, HANSEN & CO.
CRD#: 908 / SEC#: 801-126111, 8-292
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 55
Date: 8/2/2000
Limited Representative-Equity Trader ExamCurrent Firm
WULFF, HANSEN & CO.
CRD#: 908 / SEC#: 801-126111, 8-292
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 138 |
| AUM (Assets Under Management) | $ 132,528,477 |
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
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.
