Lance Whittemore is a Senior Finance professional with 13 years’ experience in Trading, Underwriting, and Sales of Fixed Income Securities in retail, middle-market, and institutional settings.  He has extensive front-office experience on several trading and execution platforms in a wide variety of roles.  Lance has been involved in some of the largest merger and integration events in the industry and has first-hand experience with large-scale training, implementation, and change management.  He has been active throughout his career in evaluating and implementing new policies and procedures to cope with industry innovations and an ever-changing marketplace.

Lance joined Oyster Consulting in September 2009 and has helped firms implement controls, compliance programs and conduct best execution reviews.  Prior to joining Oyster, Lance was an Assistant Vice President in Fixed Income Trading at Wachovia Securities (now Wells Fargo Advisors) where he traded High Yield Corporate, Emerging Market, International, and Non-Dollar credit securities.  He worked directly with the firm’s 15,000 retail financial advisors, firm management, and firm compliance to manage risk, monitor market conditions and events, ensure regulatory compliance, and conduct ongoing forward-looking assessments of firm products, policy, and procedures.

Lance was a retail financial advisor at UBS Financial Services in Richmond, VA, and was in treasury-management fixed income securities sales for Bank of America in Atlanta, GA.  Lance entered the financial-services industry in 1996 in Municipal Fixed Income Trading and Underwriting for NationsBanc Capital Markets, which later became Banc of America Securities, in Charlotte, NC.

Lance is a graduate of the University of Vermont, where he earned a Bachelor of Science in Education, and he taught secondary mathematics before entering the financial services industry.

Lance has held the FINRA Series 7 and 63 licenses, and the Virginia Life, Health, and Annuity license.