• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
LANCE WAYNE ROE SR
CRD#: 1951011
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 236 S COCHRAN AVE
CHARLOTTE, MI 48813
Registration History
199019952000200520102015202020252 FIRMS2004 - 2008 (3 years)2 FIRMS2008 - 2010 (2 years)2 FIRMS2010 - 2011 (1 year)2 FIRMS2011 - 2012 (1 year)2 FIRMS2012 - 2024 (11 years)2 FIRMS2024 - Present (1 year)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)2001 - 2004 (3 years)BNATIONAL PLANNING CORPORATION (CRD# 29604)1998 - 2000 (1 year)BW. S. GRIFFITH & CO., INC. (CRD# 10410)1996 - 1998 (1 year)BSECURITIES AMERICA, INC. (CRD# 10205)1995 - 1996 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1992 - 1995 (2 years)BLEHMAN BROTHERS INC. (CRD# 7506)1989 - 1992 (2 years)BMCLAUGHLIN, PIVEN, VOGEL INC. (CRD# 7404)1989 - 1989 (<1 year)
License(s)

State Registrations

B
Arizona 4/11/2024

B
Nebraska 5/21/2024

B
California 6/11/2024

B
Ohio 2/13/2024

B
Florida 2/13/2024

B
Utah 5/21/2024

B
Michigan 2/13/2024

B
Washington 5/7/2024

IA
Michigan 2/15/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
236 S COCHRAN AVE, CHARLOTTE, MI 48813
Registered with this firm since 2/15/2024

B
LPL FINANCIAL LLC (CRD#:6413)
236 S COCHRAN AVE, CHARLOTTE, MI 48813
Registered with this firm since 2/13/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/03/2012 - 02/13/2024 OSAIC INSTITUTIONS, INC. (CRD#:35371) CHARLOTTE, MI
B
09/05/2012 - 02/13/2024 OSAIC INSTITUTIONS, INC. (CRD#:35371) CHARLOTTE, MI
IA
05/18/2011 - 09/06/2012 FIFTH THIRD SECURITIES, INC. (CRD#:628) MASON, MI
B
05/16/2011 - 09/06/2012 FIFTH THIRD SECURITIES, INC. (CRD#:628) MASON, MI
IA
10/20/2010 - 05/17/2011 LEONARD AND COMPANY (CRD#:36527) JACKSON, MI
B
04/15/2010 - 05/17/2011 LEONARD & COMPANY (CRD#:36527) JACKSON, MI
IA
03/04/2008 - 03/22/2010 LPL FINANCIAL CORPORATION (CRD#:6413) JACKSON, MI
B
03/04/2008 - 03/22/2010 LPL FINANCIAL CORPORATION (CRD#:6413) JACKSON, MI
IA
07/26/2004 - 03/04/2008 IFMG SECURITIES, INC. (CRD#:14416) JACKSON, MI
B
07/26/2004 - 03/04/2008 IFMG SECURITIES, INC. (CRD#:14416) JACKSON, MI
B
07/10/2001 - 07/28/2004 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) EL SEGUNDO, CA
B
11/11/1998 - 06/09/2000 NATIONAL PLANNING CORPORATION (CRD#:29604) LOS ANGELES, CA
B
10/11/1996 - 09/02/1998 W. S. GRIFFITH & CO., INC. (CRD#:10410) HARTFORD, CT
B
02/17/1995 - 07/29/1996 SECURITIES AMERICA, INC. (CRD#:10205) LAVISTA, NE
B
05/18/1992 - 01/31/1995 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
10/27/1989 - 06/12/1992 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
07/11/1989 - 11/08/1989 MCLAUGHLIN, PIVEN, VOGEL INC. (CRD#:7404) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.