Lance D. Thomas

MAREX CAPITAL MARKETS

New York, NY 10017

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CRD#: 5041296

Professional summary

Lance D Thomas, who also goes by Lance David Thomas, Lance Thomas, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in New York, New York and X-CHANGE FINANCIAL ACCESS, LLC located in Chicago, Illinois.

Lance is registered as a RR (Registered Representative) and started their career in finance in 2013. Lance has worked at 5 firms and has passed the Series 99TO, Series 7TO, SIE and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lance David Thomas | Lance Thomas

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) - BD

Click below to view Lance D Thomas's CRS (Customer Relationship Summary).

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

Current

January 26, 2022 - Present

MAREX CAPITAL MARKETS INC.

Office #1: 140 East 45th Street 10th Floor, New York, NY 10017

CRD#: 161014

New York, NY

Current

May 19, 2023 - Present

X-CHANGE FINANCIAL ACCESS, LLC

Office #1: 222 W Adams Street Suite 450, Chicago, IL 60606

CRD#: 126201

Chicago, IL

Past

May 19, 2023 - November 13, 2023

MAREX NORTH AMERICA SECURITIES LLC

CRD#: 307508

NEW YORK, NY

Past

January 4, 2018 - November 16, 2021

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

July 16, 2013 - November 4, 2016

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

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

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 10/5/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/16/2019

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 27

Date: 7/16/2013

Financial and Operations Principal Examination

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

MIAX Sapphire

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

X-CHANGE FINANCIAL ACCESS, LLC

CRD#: 126201 / SEC#: , 8-65860

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

222 W Adams Street Suite 450, Chicago, IL 60606

Mailing Address

222 W Adams Street Suite 450, Chicago, IL 60606

Phone number

(312) 235-0320

Established

Illinois since 04/09/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MAREX NORTH AMERICA HOLDINGS INC	DIRECT PARENT
BATES, CHRISTOPHER	CFO/FINOP	5648556
GEYE, ANDREW J	CEO-SECURITIES DIVISION	6323003
KROPKE, PAUL STEVEN	CHIEF COMPLIANCE OFFICER	2572796
MEOLA, ANGELO	PRINCIPAL OPERATIONS OFFICER	4218349

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Lance D. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lance D Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

X-CHANGE FINANCIAL ACCESS, LLC

MAREX NORTH AMERICA SECURITIES LLC

RAYMOND JAMES & ASSOCIATES, INC.

NATWEST MARKETS SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 99TO

Date: 1/2/2023

Series 7TO

Date: 10/5/2019

SIE

Date: 3/16/2019

Series 27

Date: 7/16/2013

Cboe C2 Exchange, Inc.

Cboe Exchange, Inc.

FINRA

MIAX Sapphire

Miami International Securities Exchange, LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

Current Firm

X-CHANGE FINANCIAL ACCESS, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

X-CHANGE FINANCIAL ACCESS, LLC

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