Alan T. 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.
Alan Thomas Lane, who also goes by Alan Lane, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1994. Alan had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2019 - May 22, 2020
CAPITAL CITY SECURITIES, LLC
May 21, 2019 - June 11, 2019
CAPITAL CITY SECURITIES, LLC
March 14, 2016 - May 10, 2019
SANDLAPPER SECURITIES, LLC
November 18, 2015 - March 11, 2016
MOLONEY SECURITIES CO., INC.
February 26, 2014 - November 10, 2015
FINANCIAL WEST GROUP
July 8, 2013 - March 20, 2014
CABOT LODGE SECURITIES LLC
January 29, 2010 - July 15, 2013
ALLIED BEACON PARTNERS, INC.
September 11, 2009 - December 23, 2009
COMMUNITY BANKERS SECURITIES, LLC
October 8, 2008 - August 14, 2009
FINTEGRA, LLC
July 2, 2008 - July 14, 2008
FINTEGRA, LLC
December 1, 2006 - July 1, 2008
QUESTAR CAPITAL CORPORATION
July 22, 1999 - December 1, 2006
USALLIANZ SECURITIES, INC.
October 26, 1998 - May 26, 1999
NORTHEAST SECURITIES, LLC
March 26, 1998 - November 4, 1998
H.J. MEYERS & CO., INC.
November 20, 1997 - April 2, 1998
WACHOVIA SECURITIES, INC.
August 18, 1994 - December 3, 1997
H.J. MEYERS & CO., INC.
March 14, 1994 - July 7, 1994
FORESTERS FINANCIAL SERVICES, 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
Current Firm
CAPITAL CITY SECURITIES, LLC
CRD#: 146001 / SEC#: , 8-67771
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL CITY PARTNERS, INC. | OWNER/MANAGING MEMBER | |
| CRAWFORD, TODD EDWARD | CCO | 1951009 |
| CRAWFORD, TODD EDWARD | PRESIDENT | 1951009 |
| ROLAND, JAMES MERVIN | V. P. COMPLIANCE AND OPERATIONS | 1871181 |
| ROLAND, JAMES MERVIN | OPTIONS PRINCIPAL | 1871181 |
| TOMASELLO, JAC GERARD | MP | 1749835 |
| TOMASELLO, JAC GERARD | GENERAL PRINCIPAL | 1749835 |
| TOMASELLO, JAC GERARD | FIN OP | 1749835 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
