Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vance? Claim Your ProfileVance Leonard Falbaum is an investment advisor representative with RBC Capital Markets, LLC. Vance has been in the securities industry since May 16, 1988. Vance holds the following securities licenses: Series 7, Series 8, Series 9, Series 10, Series 31, and Series 63. Vance also holds the Series 65 Investment Adviser license. Vance has been registered with RBC Capital Markets, LLC since March 2008. Vance is also registered with the state of Arizona as an investment advisor representative. Prior to joining RBC Capital Markets, LLC, Vance was employed by DAIN RAUSCHER INCORPORATED and RAUSCHER PIERCE REFSNES, INC. Vance is currently registered in multiple states for both securities and investment advisory services.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
AZ
02/08/2010 - Present
RBC Capital Markets, LLC (TUCSON AZ)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
05/17/1988 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
IA
Issued 07/29/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/20/1988
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 09/09/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 04/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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