Richard A. Lani
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.
Richard A Lani, who also goes by Richard Anthony Lani, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 3 firms and has passed the Series 63, Series 7, Series 3 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 1993 - December 31, 1999
LAMBORN SECURITIES INCORPORATED
March 6, 1991 - July 3, 1991
PRUDENTIAL EQUITY GROUP, LLC
March 7, 1984 - October 24, 1989
THOMSON MCKINNON SECURITIES 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 8
Date: 5/29/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LAMBORN SECURITIES INCORPORATED
CRD#: 17489 / SEC#: , 8-34553
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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