Lance Allen Rushing

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2026-06-16
TX	RA	APPROVED	2019-01-02
FL	RA	APPROVED	2018-12-11

Branch Locations

110 N Wacker Dr, Chicago, IL 60606 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Northern Trust Securities, Inc.	Chicago	IL	10/2013	04/2018
Northern Trust Bank	Chicago	IL	10/2013	04/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Palm Beach	FL	10/2018	Present
Unemployed	Ft. Lauderdale	FL	04/2018	10/2018
Bank Of America, N.A.	Palm Beach	FL	04/2022	Present

10/2013 → 04/2018

Northern Trust Securities, Inc.

Chicago, IL
10/2013 → 04/2018

Northern Trust Bank

Chicago, IL
10/2018 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Palm Beach, FL
04/2018 → 10/2018

Unemployed

Ft. Lauderdale, FL
04/2022 → Present

Bank Of America, N.A.

Palm Beach, FL

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-12-07
S63	Uniform Securities Agent State Law Examination	2005-05-09

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