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.)

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