Douglas M. 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.
Douglas Matthai Lane, who also goes by Douglas M Lane, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1994. Douglas had worked at 4 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2017 - August 24, 2022
IRC SECURITIES LLC
August 13, 2007 - July 5, 2011
JEFFERIES LLC
October 17, 2002 - July 30, 2007
AVONDALE PARTNERS, LLC
April 22, 1994 - March 21, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 1994 - March 24, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
IRC SECURITIES LLC
CRD#: 150022 / SEC#: , 8-68208
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
