Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lance? Claim Your ProfileLance Gordon Rounds is a financial advisor with Oppenheimer & Co. Inc. Rounds has been in the industry since 1997. Rounds has a Series 7, Series 63, and Series 65 license. Rounds is registered to provide investment advice in 28 states including Alaska, Arizona, California, Colorado, Florida, Hawaii, Idaho, Illinois, Indiana, Kansas, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nebraska, Nevada, New Jersey, New York, North Carolina, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Utah, Virginia, and Washington. Rounds also holds an active registration in Texas to provide investment advice. In addition to Rounds's work at Oppenheimer & Co. Inc., Rounds is also the International Sales Director of MedFlightOne.
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
WA
11/13/2007 - Present
Oppenheimer & Co. Inc. (BELLEVUE WA)
NY
05/16/1997 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
IA
Issued 01/25/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/27/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/15/1997
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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