Lance C. Walston

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CRD#: 4440958

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 Colby Walston, who also goes by Lance Walston, was a registered financial professional .

Lance is a previously registered financial professional and started their career in finance in 2001. Lance had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lance Walston

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 18, 2017 - February 21, 2020

DOMINION PORTFOLIO MANAGEMENT, INC.

RIA

CRD#: 106918

SAN ANTONIO, TX

Past

August 18, 2017 - December 31, 2022

DOMINION INVESTOR SERVICES, INC.

CRD#: 21548

SAN ANTONIO, TX

Past

December 18, 2009 - September 1, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN ANGELO, TX

Past

December 18, 2009 - September 1, 2017

LPL FINANCIAL LLC

CRD#: 6413

SAN ANGELO, TX

Past

January 2, 2009 - December 18, 2009

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SAINT PETERSBURG, FL

Past

February 14, 2007 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

SAN ANGELO, TX

Past

December 14, 2006 - December 18, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SAN ANGELO, TX

Past

October 9, 2001 - December 13, 2006

EDWARD JONES

CRD#: 250

SAN ANGELO, TX

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".

DOMINION PORTFOLIO MANAGEMENT, INC.

DOMINION FINANCIAL ADVISORS INC. | NONE | DOMINION WEALTH ADVISORS, INC. | DOMINION PORTFOLIO MANAGEMENT, INC. | DOMINION FINANCIAL ADVISORS, INC.

CRD#: 106918 / SEC#: 801-115280

RIA

Registered Investment Advisory firm - (5/13/2019 Approved)

California

Registered Investment Advisory firm - (4/25/2001 Cancelled)

Colorado

Registered Investment Advisory firm - (5/22/2019 Terminated)

Indiana

Registered Investment Advisory firm - (5/20/2019 Terminated)

Louisiana

Registered Investment Advisory firm - (5/14/2019 Terminated)

Michigan

Registered Investment Advisory firm - (5/15/2019 Terminated)

Oklahoma

Registered Investment Advisory firm - (5/14/2019 Terminated)

Tennessee

Registered Investment Advisory firm - (5/14/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/14/2019 Terminated)

Washington

Registered Investment Advisory firm - (5/21/2019 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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/26/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/11/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/23/2008

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/9/2008

General Securities Sales Supervisor - Options Module Examination

Current Firm

DOMINION PORTFOLIO MANAGEMENT, INC.

DOMINION FINANCIAL ADVISORS INC. | NONE | DOMINION WEALTH ADVISORS, INC. | DOMINION PORTFOLIO MANAGEMENT, INC. | DOMINION FINANCIAL ADVISORS, INC.

CRD#: 106918 / SEC#: 801-115280

RIA

Registered Investment Advisory firm - (5/13/2019 Approved)

California

Registered Investment Advisory firm - (4/25/2001 Cancelled)

Colorado

Registered Investment Advisory firm - (5/22/2019 Terminated)

Indiana

Registered Investment Advisory firm - (5/20/2019 Terminated)

Louisiana

Registered Investment Advisory firm - (5/14/2019 Terminated)

Michigan

Registered Investment Advisory firm - (5/15/2019 Terminated)

Oklahoma

Registered Investment Advisory firm - (5/14/2019 Terminated)

Tennessee

Registered Investment Advisory firm - (5/14/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/14/2019 Terminated)

Washington

Registered Investment Advisory firm - (5/21/2019 Terminated)

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Contact information

Main Address

1002 Marble Heights Dr Suite 101, Marble Falls, TX 78654

Mailing Address

2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607

Phone number

(813) 264-0440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DOMINION PORTFOLIO MANAGEMENT, INC. (3/31/2025)

Regulatory assets under management

Total Number of Accounts	616
AUM (Assets Under Management)	$ 261,299,355

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

Lance C. Walston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DOMINION INVESTOR SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

EDWARD JONES

Primary Firm SEC Registration

DOMINION PORTFOLIO MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/26/2007

Series 63

Date: 10/11/2001

SIE

Date: 10/1/2018

Series 7

Date: 10/8/2001

Series 10

Date: 6/23/2008

Series 9

Date: 6/9/2008

Current Firm

DOMINION PORTFOLIO MANAGEMENT, INC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DOMINION PORTFOLIO MANAGEMENT, INC.

TRUST BUT VERIFY

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