Lance Huntley

Lance started his career as an examiner with the Dallas District Office of FINRA (formerly NASD) from 1996 to 1998 where he conducted examinations on member firms.  Areas covered included adherence to annual exam priorities, supervisory controls, surveillance systems, marketing material, product due diligence, licensing, registration, net capital computations, independent and bank broker dealer firms, written supervisory procedures, customer complaints.

After FINRA, Lance held the position of Chief Compliance Officer at several broker-dealers and investment advisory firms from 1998 to 2018.  In these roles Lance was responsible for handling FINRA, SEC and State regulatory requests through correspondence and onsite examinations.  At the completion of an examination, he was responsible for the implementation of any corrective actions or supervisory control improvements that were required.  Lance has extensive experience presenting senior management with key recommendations designed to eliminate or mitigate risk to the firm.

Lance holds the series 7, 24, 63 and 65 industry licenses.  He is also a member of the National Society of Compliance Professionals.

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