Lance Roe, financial advisor Coldwater MI
81 score

Lance Roe

CRD Number: 1951011
Current Firm: Infinex Investments, Inc.

Lance Roe (CRD# 1951011) is an Investment Advisor Representative working at Infinex Investments, Inc. in Coldwater, MI and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
Eaton Federal Savings Bank Charlotte, MI Sep 2012 - Current 4
Infinex Investments, Inc. Charlotte, MI Sep 2012 - Current 4
Fifth Third Securities Lansing, MI May 2011 - Aug 2012 1
Leonard & Company Troy, MI Apr 2010 - May 2011 1
Lpl Financial Corporation Jackson, MI Mar 2008 - Mar 2010 2
Ifmg Securities, Inc, Jackson, MI Jul 2004 - Mar 2008 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1989
S65 NASAA Investment Advisors Law Examination Dec 1992
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Lance W. Roe
Phone Number: 203-599-6000
Registered State(s):
  • MI
By the Numbers
  • Total Assets Under Management
    580
    MILLIONS
  • Total Number of Accounts
    2,901
    ACCOUNTS
  • Average Account Value
    $199,891
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
81

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