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Neil Lance: $653K TIC Complaint Against Ex-LPL Financial Advisor

Bellevue, Washington financial advisor Neil Lance (CRD# 2768092) allegedly recommended an unsuitable tenant-in-common investment, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with Fidelity Brokerage Services, having previously been registered with LPL Financial.

Mr. Lance’s BrokerCheck report discloses one investor complaint. Filed in September 2022, it alleges that as a representative of LPL Financial, he recommended an unsuitable tenant-in-common product in 2007. The pending complaint alleges damages of $653,187.

According to the Financial Industry Regulatory Authority, Mr. Lance holds 25 years of securities industry experience. Based in Bellevue, Washington, he has been a broker with Fidelity Brokerage Services since January 2023. His registration history includes US Bancorp Investments (Everett, Washington; 2022), SCS (Bellevue, Washington; 2020-2022), LPL Financial (Bellevue, Washington; 2007-2022), Financial Advocates Investment Management (Snohomish, Washington; 2018-2020), WM Financial Services (Lynwood, Washington; 2004-2007), US Bancorp Investments (Saint Paul, Minnesota; 2003-2004), Lance Financial (Mukilteo, Washington; 2003), and US Bancorp Piper Jaffray (Minneapolis, Minnesota; 2000-2002). His credentials include the passage of seven securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Corporate Securities Limited Representative Examination, or Series 62; the Municipal Securities Representative Examination, or Series 52TO; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in California. (Information current as of February 5, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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