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Detailed Report
LANCE PARSONS DUMAS
CRD#: 4026916
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 6 VENTURE STE 250
IRVINE, CA 92618
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2024 (14 years)2 FIRMS2024 - Present (<1 year)BLEGEND EQUITIES CORPORATION (CRD# 30999)2015 - 2016 (<1 year)BSUN LIFE FINANCIAL DISTRIBUTOR... (CRD# 5496)2006 - 2009 (2 years)BCLARENDON INSURANCE AGENCY, INC. (CRD# 7395)2003 - 2006 (2 years)BKEYPORT FINANCIAL SERVICES CORP. (CRD# 8127)1999 - 2003 (4 years)
License(s)

State Registrations

B
Arizona 5/1/2024
B
Massachusetts 5/1/2024
B
Arkansas 6/17/2024
B
Michigan 5/3/2024
B
California 5/1/2024
B
Nevada 5/1/2024
IA
California 5/2/2024
B
New Jersey 5/1/2024
B
Colorado 5/1/2024
B
New Mexico 5/1/2024
B
Connecticut 5/29/2024
B
New York 5/1/2024
B
Florida 5/1/2024
B
North Carolina 5/1/2024
B
Hawaii 5/1/2024
B
Oregon 5/1/2024
B
Idaho 6/5/2024
B
Pennsylvania 11/7/2024
B
Illinois 5/21/2024
B
Texas 5/7/2024
B
Iowa 7/30/2024
IA
Texas 5/8/2024
B
Kansas 5/1/2024
B
Utah 6/11/2024
B
Maine 5/1/2024
B
Vermont 6/10/2024
B
Maryland 5/1/2024
B
Washington 5/1/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
6 VENTURE STE 250, IRVINE, CA 92618
Registered with this firm since 5/2/2024
B
LPL FINANCIAL LLC (CRD#:6413)
6 VENTURE STE 250, IRVINE, CA 92618
Registered with this firm since 5/1/2024
Previous Registration(s)
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IA
 09/15/2009 - 05/02/2024 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) IRVINE, CA
B
 07/13/2009 - 05/02/2024 CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358) IRVINE, CA
B
 04/24/2015 - 01/25/2016 LEGEND EQUITIES CORPORATION (CRD#:30999) Schaumburg, IL
B
 06/26/2006 - 05/14/2009 SUN LIFE FINANCIAL DISTRIBUTORS, INC. (CRD#:5496) BOSTON, MA
B
 12/01/2003 - 06/26/2006 CLARENDON INSURANCE AGENCY, INC. (CRD#:7395) WALTHAM, MA
B
 10/11/1999 - 12/01/2003 KEYPORT FINANCIAL SERVICES CORP. (CRD#:8127) WELLESLEY HILLS, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.