Kevin P. Lane

LANE BROTHERS INVESTMENT COUNSEL

PRESCOTT, AZ 86303

Some features on this profile are disabled

CRD#: 1011052

Professional summary

Kevin Patrick Lane is a registered financial advisor currently at LANE BROTHERS INVESTMENT COUNSEL located in Prescott, Arizona.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Kevin has worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. NAME OF OTHER BUSINESS: Roberts & Lane Property Development, LLC NATURE OF BUSINESS: Real Estate START: 01/06/2000 POSITION: Managing Member APPX. HRS/MONTH: 5 % APPX HRS/MONTH DURING TRADING HOURS: 0 DUTIES: Oversee building issues 2. FIXED INSURANCE NATURE: Insurance START: 6/5/2023 APPX. HRS/MONTH: 5 % APPX HRS/MONTH DURING TRADING HOURS: 2 POSITION: INSURANCE AGENT DUTIES: Sells Life, Health, Disability, Annuities & LTC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Patrick Lane's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 17, 1994 - Present

LANE BROTHERS INVESTMENT COUNSEL

Office #1: 1550 Plaza West Drive, Prescott, AZ 86303

RIA

CRD#: 105968

PRESCOTT, AZ

Past

January 4, 2021 - April 2, 2024

CWM, LLC

RIA

CRD#: 155344

Scottsdale, AZ

Past

October 30, 1989 - December 21, 1989

HARTFORD CAPITAL CORPORATION

CRD#: 24098

Past

July 12, 1988 - October 19, 1989

BOUCHER, OEHMKE & COMPANY

CRD#: 17470

Past

September 24, 1981 - July 5, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LANE BROTHERS INVESTMENT COUNSEL

LANE BROTHERS & CO INC | ROI & LANE LP | LANE TRADING PARTNERS LP | LANE BROTHERS INVESTMENT COUNSEL

CRD#: 105968 / SEC#: 801-130414

RIA

Registered Investment Advisory firm - (8/23/2024 Approved)

Arizona

Registered Investment Advisory firm - (11/12/2024 Terminated)

California

Registered Investment Advisory firm - (12/12/2024 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(8/17/1994)

IAR

Texas
(8/23/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/27/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/28/1982

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 12/12/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 9/19/1981

General Securities Representative Examination

Current Firm

LANE BROTHERS INVESTMENT COUNSEL

LANE BROTHERS & CO INC | ROI & LANE LP | LANE TRADING PARTNERS LP | LANE BROTHERS INVESTMENT COUNSEL

CRD#: 105968 / SEC#: 801-130414

RIA

Registered Investment Advisory firm - (8/23/2024 Approved)

Arizona

Registered Investment Advisory firm - (11/12/2024 Terminated)

California

Registered Investment Advisory firm - (12/12/2024 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2020 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1560 Plaza West Drive, Prescott, AZ 86303

Mailing Address

Phone number

(928) 776-8870

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (9/10/2025)

Regulatory assets under management

Total Number of Accounts	877
AUM (Assets Under Management)	$ 192,562,450

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

David Brown

D.A. DAVIDSON & CO.

IAR

Great Falls, MT

Gianluca Triennese

WEDBUSH SECURITIES INC.

IAR

Littleton, CO

Miladin Lacarak

CHIMERA SECURITIES, LLC

NEW YORK, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kevin P. Lane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Patrick Lane's CRS (Customer Relationship Summary).

Certified licenses

Experience

CWM, LLC

HARTFORD CAPITAL CORPORATION

BOUCHER, OEHMKE & COMPANY

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

LANE BROTHERS INVESTMENT COUNSEL

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/1995

Series 63

Date: 7/27/1982

Series 3

Date: 10/28/1982

Series 5

Date: 12/12/1981

Series 7

Date: 9/19/1981

Current Firm

LANE BROTHERS INVESTMENT COUNSEL

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LANE BROTHERS INVESTMENT COUNSEL

TRUST BUT VERIFY

Similar Advisors