AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
LB

Lance M. Barrett

TRUMID FINANCIAL
New York, NY 10018
Some features on this profile are disabled
CRD#: 6999105
LB

Professional summary

Lance Matthew Barrett, who also goes by Lance Barrett, is a registered financial professional currently at TRUMID FINANCIAL LLC located in New York, New York.

Lance is registered as a RR (Registered Representative) and started their career in finance in 2019. Lance has worked at 2 firms and has passed the Series 99TO, SIE and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lance Barrett

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 Matthew Barrett'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 1, 2019 - Present

TRUMID FINANCIAL LLC

Office #1: 1411 Broadway Suite 2410, New York, NY 10018
BD
CRD#: 172129
New York, NY
Past

January 1, 2019 - August 19, 2022

ELECTRONIFIE SECURITIES LLC

BD
CRD#: 170945
NEW YORK, NY

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
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/31/2018
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TF
TRUMID FINANCIAL LLC
TRUMID FINANCIAL LLC

CRD#: 172129 / SEC#: , 8-69500

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1411 Broadway Suite 2410, New York, NY 10018
Mailing Address
1411 Broadway Suite 2410, New York, NY 10018
Phone number
(212) 618-0388
Established
Delaware since 06/04/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TRUMID HOLDINGS LLCPARENT
BARRETT, LANCE MATTHEWFINOP6999105
KNOPP, CHERYL JODICHIEF COMPLIANCE OFFICER5273448
MATEO, RONALD MICHAELCEO2802819
SIRACUSE, DANIEL JCHIEF FINANCIAL OFFICER / CHIEF OPERATING OFFICER5752088
SOBEL, MICHAEL EVANPRESIDENT4430822

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

TRUMID FINANCIAL LLC

CRD#: 172129New York, NY 10018

TRUST BUT VERIFY

Monitor Lance Barrett

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
PR
MINNEAPOLIS, MN
Elizabeth Katz Miller
Elizabeth MillerAdvisorCheck Check Mark
SUMMIT PLACE FINANCIAL ADVISORS, LLC
IAR
Summit, NJ
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.