Lance N. Witte
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 Nelson Witte was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1972. Lance had worked at 14 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 1992 - April 7, 1997
ALEX. BROWN & SONS INCORPORATED
May 8, 1991 - August 19, 1991
SCOTT & STRINGFELLOW, INC.
November 23, 1988 - May 9, 1990
CRAIG-HALLUM, INC.
February 1, 1988 - December 16, 1988
OBERWEIS SECURITIES, INC.
November 19, 1987 - February 1, 1988
ENGLER-BUDD & COMPANY INC.
January 4, 1985 - November 23, 1987
FIRST PREFERRED INVESTMENT CORPORATION
October 21, 1981 - January 1, 1985
MORGAN STANLEY DW INC.
September 16, 1975 - October 29, 1981
PAGEL INC.
March 7, 1975 - October 29, 1975
MIDWEST DISCOUNT SECURITIES, INC.
May 28, 1974 - December 4, 1974
BRADLEY AUTOMOTIVE
June 4, 1973 - May 18, 1974
AMERICAN EXPRESS FINANCIAL CORPORATION
June 4, 1973 - May 18, 1974
AMERIPRISE FINANCIAL SERVICES, LLC
June 4, 1973 - May 18, 1974
IDS LIFE INSURANCE COMPANY
December 4, 1972 - June 1, 1973
CRAIG-HALLUM, INC.
September 1, 1972 - January 3, 1973
J SHAPRIO CO
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
Series 1
Date: 8/24/1972
Registered Representative ExaminationCurrent Firm
ALEX. BROWN & SONS INCORPORATED
CRD#: 20 / SEC#: , 8-31213
Contact information
Documents
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.
