Andrew O. Lanes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Oliver Lanes, who also goes by Andy Lanes, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1982. Andrew had worked at 9 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2005 - March 13, 2014
NTB FINANCIAL CORPORATION
August 16, 2002 - March 13, 2003
WILSON-DAVIS & CO., INC.
January 3, 1991 - July 2, 2002
DEUTSCHE IXE, LLC
May 24, 1988 - December 8, 1990
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
August 12, 1986 - May 24, 1988
TROSTER SINGER CORPORATION
September 28, 1984 - May 23, 1985
J. W. GANT & ASSOCIATES, INC.
January 24, 1984 - May 22, 1984
RICHEY, FRANKEL & COMPANY
April 28, 1983 - February 3, 1984
MALONE & ASSOCIATES, INC.
November 24, 1982 - March 2, 1983
HANIFEN, IMHOFF INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/24/1998
Limited Representative-Equity Trader ExamCurrent Firm
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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.
