Lance R. Ettus
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 Rory Ettus was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 2002. Lance had worked at 7 firms and has passed the Series 63, Series 86, Series 87 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
April 6, 2011 - May 23, 2014
TUOHY BROTHERS INVESTMENT RESEARCH, INC.
May 10, 2005 - January 8, 2007
CREDIT AGRICOLE SECURITIES (USA) INC.
October 18, 2004 - May 5, 2005
DU PASQUIER & CO., INC.
May 4, 2004 - November 5, 2004
CANTELLA & CO., INC.
November 6, 2003 - February 4, 2004
BURNHAM SECURITIES INC.
April 22, 2002 - July 16, 2002
PORTALES PARTNERS, LLC
January 17, 2002 - April 11, 2002
ANGLO-AMERICAN INVESTOR SERVICES CORP.
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
TUOHY BROTHERS INVESTMENT RESEARCH, INC.
CRD#: 133672 / SEC#: , 8-66756
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
