Neil Lance serves as our Compliance Director and has been in the industry over 23 years
His background includes over 15 years as a producing advisor, having worked in a bank brokerage environment (Murphy Favre/WM Financial Services), a wire house (Piper Jaffray), and eventually as an independent broker (LPL Financial.) This background helps him to understand the day to day issues that you, as advisors, face on a continual basis. It’s his hope to use this experience to help make your compliance experience as comfortable and simple as possible.
After leaving the world of being a financial advisor, he entered the realm of governance, risk, and compliance with LPL Financial, where he worked as a Senior Designated Principal for almost 4 years.
Having this experience as both an advisor as well as a compliance officer, it’s Neil’s intent to utilize this background to help provide a compliance environment that is both robust and effective, while also being easily navigable and minimally intrusive.
Neil works remotely out of Snohomish, WA, where he lives with his spouse of 20 years and two children ages 13 and 9.