Lance E. Baraker
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 Everett Baraker was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 2004. Lance had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2021 - May 2, 2022
VELOCITY CLEARING, LLC
May 10, 2016 - February 17, 2021
RISE FINANCIAL SERVICES, LLC
January 4, 2011 - April 29, 2016
CELADON FINANCIAL GROUP LLC
September 10, 2009 - January 3, 2011
TRADESTATION SECURITIES, INC.
September 18, 2007 - October 2, 2009
SARATOGA CAPITAL MARKETS
August 13, 2004 - September 17, 2007
SHORELINE TRADING GROUP LLC
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
VELOCITY CLEARING, LLC
CRD#: 126588 / SEC#: , 8-65894
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 19 |
Red Flags
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