Lance Parsons Dumas

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → 11/2017
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 01/2014 → 11/2017
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 11/2017 → Present
  Cornerstone Financial Advisers
  Irvine, CA
• 11/2017 → 04/2024
  Cetera Financial Specialists, Llc
  Schaumburg, IL
• 11/2017 → 04/2024
  Cetera Investment Advisers, Llc
  Schaumburg, IL
• 05/2024 → Present
  Lpl Financial Llc
  Irvine, CA

Previous Registrations

• 2009-09-15 → 2024-05-02
  Cetera Investment Advisers Llc
  Corona Del Mar, CA
  Orange, CA
  Irvine, CA

Other Businesses

1) 03/28/2024 - CORNERSTONE FINANCIAL ADVISERS - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month.

Exams

• S66 Uniform Combined State Law Examination
  2009-09-14
• S63 Uniform Securities Agent State Law Examination
  2008-08-29

Designations

• Chartered Financial Consultant