Lance R. Armstrong
Professional summary
Lance Roman Armstrong was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lance is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Lance had worked at 4 firms, which includes RAYMOND JAMES FINANCIAL SERVICES ADVISORS INC, RAYMOND JAMES FINANCIAL SERVICES INC., SORRENTO PACIFIC FINANCIAL LLC, ICBA FINANCIAL SERVICES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2009 - February 11, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 20, 2007 - February 11, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 14, 2005 - April 10, 2007
SORRENTO PACIFIC FINANCIAL, LLC
October 14, 2002 - November 14, 2005
ICBA FINANCIAL SERVICES CORPORATION
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
