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Grant C Lanza

NEXPOINT SECURITIES
DALLAS, TX
·CRD# 6987241·8 years experience

Professional Summary

Grant C Lanza is a registered financial advisor currently at NEXPOINT SECURITIES, INC. located in Dallas, Texas. Grant is registered as a RR (Registered Representative) and started their career in finance in 2018. Grant has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

8 years in the financial services industry

Current & Past Employments

NEXPOINT SECURITIES, INC.·CRD# 165013
BD
200 Crescent Court Suite 700, Dallas, TX 75201
January 31, 2024 - Present
EMERSON EQUITY LLC·CRD# 130032
RIA
Manhattan Beach, CA
August 11, 2023 - January 9, 2024
EMERSON EQUITY LLC·CRD# 130032
BD
San Mateo, CA
August 11, 2023 - January 9, 2024
NEXPOINT SECURITIES, INC.·CRD# 165013
BD
Dallas, TX
August 25, 2020 - July 3, 2023
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
RIA
Plano, TX
November 14, 2018 - August 10, 2020
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Plano, TX
October 1, 2018 - August 10, 2020

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Current Firm

NS
NEXPOINT SECURITIES, INC.

HIGHLAND CAPITAL FUNDS DISTRIBUTOR, INC. | PYXIS DISTRIBUTORS, INC. | NEXPOINT SECURITIES, INC.

CRD#: 165013 / SEC#: 8-69128
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Contact Information

Main Address

200 Crescent Court, Suite 700, Dallas, TX 75201

Mailing Address

200 Crescent Court, Suite 700, Dallas, TX 75201

Phone Number

(833) 697-6246

Established

Delaware since 06/14/2012

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEXPOINT ASSET MANAGEMENT, L.P.SHAREHOLDER149653
HOLT, DAVID ERICCHIEF COMPLIANCE OFFICER/ POO2426935
NORRIS, DUSTIN DAVIDPRESIDENT6624477
RUSSELL, SARAH DETLINGFINOP / PFO6727189
WATERHOUSE, FRANK GEORGETREASURER2960256

Disclosures

Regulatory Event

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1)- WHITE RIVER PRIVATE CAPITAL MANAGEMENT, A WHOLLY OWNED SUBSIDIARY OF WHITE RIVER ENERGY CORP. -INVESTMENT RELATED, 609 W. DICKSON ST, STE 102G, FAYETTEVILLE, AR 72701, OIL AND GAS FUND, REGIONAL VP SALES, I RAISE CAPITAL FOR THE COMPANY IN OIL AND GAS PRIVATE PLACEMENT OFFERINGS., 200 HOURS A MONTH, 6.5 HOURS A DAY DURING SECURITIES TRADING HOURS, 07/2023

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(1/31/2024)
RR
Hawaii
(1/31/2024)
RR
Nevada
(1/31/2024)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Nov 2018About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2018About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Grant C Lanza's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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