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M. SCOT LANCE
MICHAEL SCOT LANCE, SCOT LANCE, SCOTT LANCE
CRD#: 2264884
IA
B
WEALTH ENHANCEMENT ADVISORY SERVICES, LLCCRD#: 116407 700 LARKSPUR LANDING CIR
SUITE 109
LARKSPUR, CA 94939
SUITE 109
LARKSPUR, CA 94939
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLCCRD#: 130139 700 LARKSPUR LANDING CIR
SUITE 109
LARKSPUR, CA 94939
SUITE 109
LARKSPUR, CA 94939
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10/26/2016
Customer Dispute
Denied
1/6/2009
Customer Dispute
Denied
6/24/1999
Customer Dispute
Settled
State Registrations
B
Alaska 8/31/2023
B
New York 11/9/2017
B
Arizona 11/9/2017
B
Ohio 11/9/2017
B
California 11/9/2017
B
Oregon 11/9/2017
IA
California 8/3/2022
B
South Dakota 11/2/2023
B
Colorado 8/31/2023
B
Tennessee 10/22/2019
B
Florida 2/14/2019
B
Texas 11/9/2017
B
Hawaii 12/8/2017
IA
Texas 8/3/2022
B
Idaho 11/9/2017
B
Utah 11/9/2017
B
Maryland 11/9/2017
B
Virginia 11/9/2017
B
Massachusetts 11/27/2017
B
Washington 11/13/2017
B
Nevada 11/9/2017
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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B
Registered with this firm since 9/20/2022
IA
Registered with this firm since 8/3/2022
B
Registered with this firm since 11/9/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/13/2017 - 09/01/2022 | Larkspur, CA | |
IA | 09/14/2007 - 11/10/2017 | SAN RAFAEL, CA | |
B | 09/14/2007 - 11/10/2017 | SAN RAFAEL, CA | |
IA | 05/15/2002 - 09/18/2007 | SAN RAFAEL, CA | |
B | 05/14/2002 - 09/18/2007 | SAN RAFAEL, CA | |
IA | 08/12/1999 - 05/24/2002 | SAN FRANCISCO, CA | |
B | 07/23/1999 - 05/24/2002 | WEEHAWKEN, NJ | |
B | 07/01/1994 - 08/10/1999 | SAN FRANCISCO, CA | |
B | 04/22/1993 - 06/24/1994 | NEW YORK, NY | |
B | 09/21/1992 - 12/07/1992 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.