Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Connie? Claim Your ProfileConnie Lancaster is a registered investment advisor representative, with over 40 years of experience in the financial services industry. Connie currently works for Oppenheimer & Co. Inc. Connie has previously worked with firms such as Ameriprise Financial Services, Inc., Stanford Group Company and UBS Financial Services Inc. Connie has a broad range of experience, including a focus on retirement, and other entity types, insurance companies, charitable organizations, high-net-worth individuals, and other investment advisors, pooled investment vehicles, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, and state or municipal government entities. Connie holds Series 7, Series 8, Series 9, Series 10, Series 63, and Series 65 licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
VA
07/08/2015 - Present
Oppenheimer & Co. Inc. (RICHMOND VA)
VA
07/02/2015 - 07/22/2015
AMERIPRISE FINANCIAL SERVICES, INC. (GLEN ALLEN VA)
VA
03/18/2009 - 07/06/2015
OPPENHEIMER & CO. INC. (RICHMOND VA)
VA
09/02/2008 - 03/17/2009
STANFORD GROUP COMPANY (RICHMOND VA)
VA
08/26/1982 - 09/08/2008
UBS FINANCIAL SERVICES INC. (RICHMOND VA)
IA
Issued 02/23/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/01/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/30/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/1982
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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