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GL

Grant C. Lanza

NEXPOINT SECURITIES
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 6987241
GL

Professional summary

Grant C Lanza is a registered financial professional 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.

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.
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

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Grant C Lanza'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

January 31, 2024 - Present

NEXPOINT SECURITIES, INC.

Office #1: 200 Crescent Court Suite 700, Dallas, TX 75201
BD
CRD#: 165013
Dallas, TX
Past

August 11, 2023 - January 9, 2024

EMERSON EQUITY LLC

RIA
CRD#: 130032
Manhattan Beach, CA
Past

August 11, 2023 - January 9, 2024

EMERSON EQUITY LLC

BD
CRD#: 130032
SAN MATEO, CA
Past

August 25, 2020 - July 3, 2023

NEXPOINT SECURITIES, INC.

BD
CRD#: 165013
DALLAS, TX
Past

November 14, 2018 - August 10, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
PLANO, TX
Past

October 1, 2018 - August 10, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
PLANO, TX

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
California
(1/31/2024)
RR
Hawaii
(1/31/2024)
RR
Nevada
(1/31/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/14/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/30/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

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)
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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
# of Employees

FINRA licenses (53 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#
NEXPOINT ASSET MANAGEMENT, L.P.SHAREHOLDER149653
HOLT, DAVID ERICCHIEF COMPLIANCE OFFICER/ POO2426935
NORRIS, DUSTIN DAVIDPRESIDENT6624477
RUSSELL, SARAH DETLINGFINOP / PFO6727189

Disclosures

Regulatory Event1

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

NEXPOINT SECURITIES, INC.

CRD#: 165013Dallas, TX 75201

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