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Robert Lawrence Lane

CRD# 2529562·Registered 2004 - 2012
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Lawrence Lane was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 2004 - 2012. Robert had worked at 3 firms and has passed the Series 63, Series 86, Series 87, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

21 years in the financial services industry

Current & Past Employments

GLOBAL HUNTER SECURITIES, LLC·CRD# 123003
BD
Houston, TX
December 6, 2011 - November 16, 2012
SANDERS MORRIS LLC·CRD# 20580
BD
Houston, TX
October 24, 2011 - December 31, 2011
MADISON WILLIAMS AND COMPANY·CRD# 149530
BD
Houston, TX
December 1, 2009 - December 8, 2011
SANDERS MORRIS LLC·CRD# 20580
BD
Houston, TX
December 17, 2004 - December 16, 2009

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Current Firm

GH
GLOBAL HUNTER SECURITIES, LLC

EVELOCITY | VELOCITY TRADING, LLC (EVELOCITY) | VELOCITY TRADING | THE SEAPORT GROUP | SEAPORT GLOBAL HOLDINGS | INTERNATIONAL MADISON INVESTMENT | GLOBAL HUNTER SECURITIES, LLC

CRD#: 123003 / SEC#: 8-65552
BD
Terminated by SEC on 07/03/2015

Contact Information

Established

New York since 11/14/2001

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
SEAPORT GLOBAL HOLDINGS, LLCPARENT COMPANY—
CONWILL, DANIEL OZA IVCHAIRMAN, CEO1714135
JOHNSON, MARY SAUNDERSCFO5680544
LAINFIESTA, EDWARD ROBERTPRESIDENT1139496
MERINGER, GARY EGENERAL COUNSEL, COO2179687
ZACK, DAVIDCCO2356042

Disclosures

Regulatory Event

3

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2004About the Series 63 exam

Series 86 — Research Analyst Exam - Part I Analysis Module

Passed Jan 2005About the Series 86 exam

Series 87 — Research Analyst Exam - Part II Regulations Module

Passed Jan 2005About the Series 87 exam

Series 7 — General Securities Representative Examination

Passed Dec 2004About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 2008About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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