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LS

Lance M. Smith

LITTLE RIVER CAPITAL
VESTAVIA HILLS, AL 35243
Some features on this profile are disabled
CRD#: 5606675
LS

Professional summary

Lance Martin Smith is a registered financial professional currently at LITTLE RIVER CAPITAL, LLC located in Vestavia Hills, Alabama.

Lance is registered as a RR (Registered Representative) and started their career in finance in 2008. Lance has worked at 4 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Lance Martin Smith's CRS (Customer Relationship Summary).
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

October 28, 2019 - Present

LITTLE RIVER CAPITAL, LLC

Office #1: 4553 Pine Tree Hill Road Suite 126, Vestavia Hills, AL 35243
BD
CRD#: 118917
VESTAVIA HILLS, AL
Past

March 14, 2012 - August 9, 2012

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

September 21, 2009 - March 12, 2012

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
BIRMINGHAM, AL
Past

November 27, 2008 - September 30, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
IRONDALE, AL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(12/16/2019)
RR
California
(5/7/2021)
RR
Illinois
(7/14/2021)
RR
Virginia
(6/9/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/16/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/26/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LR
LITTLE RIVER CAPITAL, LLC
CHICAGO ANALYTIC TRADING COMPANY, LLC | LITTLE RIVER CAPITAL, LLC

CRD#: 118917 / SEC#: , 8-53698

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
4553 Pine Tree Hill Road Suite 126, Vestavia Hills, AL 35243
Mailing Address
216 Cahaba Oaks Trail, Indian Springs, AL 35124
Phone number
(251) 379-7228
Established
Delaware since 11/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NIX, JOHN R JRCEO,CCO5414111
SMITH, LANCE MARTINPASSIVE OWNER5606675
LENART, BRIAN DOUGLASFINOP, PFO/POO736107

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.

Company Information

LITTLE RIVER CAPITAL, LLC

CRD#: 118917Vestavia Hills, AL 35243

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