Lance Deal

Lance has worked in the financial services industry for many years, including serving as CFO/FINOP for two large clearing broker-dealers. He possesses extensive knowledge of financial regulatory reporting for broker-dealers, which includes 15c3-1 Net Capital and 15c3-3 Reserve Computations. Additionally, Lance developed an Operations Control group tasked with ensuring the firm was in compliance with SEC Rules 17a-13, 15c3-3 Possession or Control and has worked with a number of firms on their 17a-5 Controls. For the past six years, Lance worked in the accounting industry in a consulting capacity to help clearing broker-dealer clients. He has been instrumental in helping clients convert to daily 15c3-3 computations and implementation of software for the regulatory reporting.

Based in New York City, Lance leads the broker-dealer practice at Forvis Mazars, a top 10 U.S. public accounting firm. Prior to joining Forvis Mazars, he served as an Executive Director for several Fortune 500 investment banks.