Joseph B. Lane
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.
Joseph Barnard Lane, CFP®, ChFC®, CLU®, who also goes by Barney Lane, Joseph B Lane, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1983. Joseph had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2010
Experience
January 8, 2016 - August 28, 2023
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 6, 2016 - August 28, 2023
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 2, 2010 - January 5, 2016
EAGLE STRATEGIES LLC
February 19, 2004 - January 5, 2016
NYLIFE SECURITIES LLC
November 5, 1998 - November 13, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 15, 1993 - April 22, 1999
VOYA FINANCIAL PARTNERS, LLC
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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 2
Date: 6/25/1982
Non-Member General Securities ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
