Lance R. Pettus

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CRD#: 4604100

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 Ryan Pettus was a registered financial professional .

Lance is a previously registered financial professional and started their career in finance in 2002. Lance had worked at 8 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

March 26, 2013 - February 28, 2014

TD AMERITRADE, INC.

RIA

CRD#: 7870

FORT WORTH, TX

Past

March 26, 2013 - February 28, 2014

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

FORT WORTH, TX

Past

January 3, 2013 - February 28, 2014

TD AMERITRADE, INC.

CRD#: 7870

FORT WORTH, TX

Past

August 1, 2012 - December 14, 2012

OPPENHEIMER & CO. INC.

CRD#: 249

AUSTIN, TX

Past

November 6, 2009 - June 5, 2012

WELLS FARGO SECURITIES, LLC

CRD#: 126292

AUSTIN, TX

Past

April 12, 2007 - November 6, 2009

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

AUSTIN, TX

Past

December 15, 2003 - July 8, 2004

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

AUSTIN, TX

Past

December 15, 2003 - July 8, 2004

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

January 13, 2003 - October 24, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

AUSTIN, TX

Past

December 19, 2002 - October 24, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 19, 2002 - October 24, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/25/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/21/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/11/2007

General Securities Representative Examination

Current Firm

TD AMERITRADE, INC.

TD AMERITRADE, INC. | WATERHOUSE SECURITIES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC.

CRD#: 7870 / SEC#: 801-60469, 8-23395

Terminated by SEC on 09/17/2024

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Contact information

Main Address

200 South 108th Avenue, Omaha, NE 68154

Mailing Address

Phone number

(800) 669-3900

Established

New York since 09/29/1978

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

5,840

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
TD AMERITRADE ONLINE HOLDINGS LLC.	OWNER
KONOP, LYNN MARIE	CHIEF COMPLIANCE OFFICER - BD	1216310
KOSTULIAS, JAMES ROBERT	PRESIDENT	3091009
STARR, JEFFREY HAROLD	MANAGING DIRECTOR, OPERATIONS	4700461
THOMPSON, AARON MARK	CHIEF FINANCIAL OFFICER/FINOP	6483170

Disclosures

Regulatory Event	79
Civil Event	1
Arbitration	145

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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Firm Stability Insights

Lance R. Pettus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

OPPENHEIMER & CO. INC.

WELLS FARGO SECURITIES, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/25/2013

Series 63

Date: 5/21/2007

Series 7

Date: 4/11/2007

Current Firm

TD AMERITRADE, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TD AMERITRADE, INC.

TRUST BUT VERIFY

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