Timothy J. Lane
Professional summary
Timothy John Lane was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Timothy is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Timothy had worked at 7 firms, which includes WAMU INVESTMENTS INC., AFS BROKERAGE INC., MORGAN STANLEY DW INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., ASB FINANCIAL SERVICES, GREAT WESTERN FINANCIAL SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2004 - April 1, 2005
WAMU INVESTMENTS, INC.
March 28, 2003 - September 11, 2003
AFS BROKERAGE, INC.
May 27, 2002 - February 20, 2003
MORGAN STANLEY DW INC.
April 3, 1998 - May 28, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 3, 1998 - May 28, 1998
OSAIC FA, INC.
January 20, 1995 - April 9, 1996
ASB FINANCIAL SERVICES
April 15, 1992 - February 8, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
Red Flags
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