Oren A. Lane
Professional summary
Oren Anthony Lane is a registered financial professional currently at PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Oren is registered as a RR (Registered Representative) and started their career in finance in 1986. Oren has worked at 16 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Oren Anthony Lane's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 17, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392October 31, 2022 - February 2, 2023
BARNABAS CAPITAL, LLC
January 31, 2022 - September 26, 2022
SYMETRA SECURITIES, INC.
January 12, 2010 - January 20, 2022
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 29, 2008 - January 14, 2009
DIRECTED SERVICES LLC
June 18, 2001 - January 14, 2008
COREBRIDGE CAPITAL SERVICES, INC.
July 8, 1998 - May 14, 2001
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
September 10, 1997 - July 7, 1998
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
October 19, 1993 - July 17, 1997
COMERICA SECURITIES
September 9, 1993 - March 17, 1994
FIMCO SECURITIES GROUP, INC.
March 30, 1992 - July 14, 1992
MORGAN STANLEY DW INC.
August 27, 1991 - January 23, 1992
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 14, 1989 - June 27, 1990
FIRST OF MICHIGAN CORPORATION
February 15, 1988 - August 7, 1989
LEHMAN BROTHERS INC.
July 22, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
January 23, 1986 - March 4, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/17/2023)
(2/17/2023)
(2/17/2023)
(2/21/2023)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
