Lance Rounds
Lance Rounds is a registered investment advisor at Oppenheimer & CO. INC., based in Bellevue, WA, with 28 years of industry experience. Lance is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.
Fee Estimator
Location
500 108th Avenue Ne, Suite 2100, Bellevue, WA, 98004
Get directionsHistory
Regulatory History (2)
Customer Dispute
October 2007Customer Dispute
September 2001Other Business Activities
Lance is the International Sales Director for MedFlightOne, a critical care air transportation service, since January 2020. He anticipates developing new business opportunities during non-peak work hours at Oppenheimer & Co. Inc.
Employment History
Current Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Previous Registrations
Oppenheimer Asset Management
Fahnestock Asset Management
Cibc World Markets CORP.
Cibc World Markets CORP.Broker
State Registrations27 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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