Sarat Sethi

DOUGLAS C. LANE & ASSOCIATES

New York, NY 10017

Some features on this profile are disabled

CRD#: 2937931

Professional summary

Sarat Sethi is a registered financial advisor currently at DOUGLAS C. LANE & ASSOCIATES located in New York, New York.

Sarat is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Sarat has worked at 2 firms and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarat Sethi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 17, 2016 - Present

DOUGLAS C. LANE & ASSOCIATES

Office #1: One Dag Hammarskjold Plaza 885 Second Avenue 42 Floor, New York, NY, 10017

RIA

CRD#: 282563

New York, NY

Past

October 9, 1997 - December 17, 1998

JPMSI

CRD#: 15733

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DOUGLAS C. LANE & ASSOCIATES

DOUGLAS C. LANE & ASSOCIATES | DOUGLAS LANE & ASSOCIATES, LLC

CRD#: 282563 / SEC#: 801-107161

RIA

Registered Investment Advisory firm - (1/1/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(11/18/2021)

IAR

Texas
(2/17/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7

Date: 9/20/1997

General Securities Representative Examination

Current Firm

DOUGLAS C. LANE & ASSOCIATES

DOUGLAS C. LANE & ASSOCIATES | DOUGLAS LANE & ASSOCIATES, LLC

CRD#: 282563 / SEC#: 801-107161

RIA

Registered Investment Advisory firm - (1/1/2016 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Dag Hammarskjold Plaza 885 Second Avenue 42 Floor, New York, NY, 10017

Mailing Address

Phone number

(212) 262-7670

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DCLA BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	5,608
AUM (Assets Under Management)	$ 8,230,575,270

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2024	Cover Page	Report
12/15/2023	Cover Page	Report
08/03/2022	Cover Page	Report

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sarat Sethi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sarat Sethi's CRS (Customer Relationship Summary).

Certified licenses

Experience

DOUGLAS C. LANE & ASSOCIATES

JPMSI

Primary Firm SEC Registration

DOUGLAS C. LANE & ASSOCIATES

State Registrations and Notice Filings

Exams

Series 7

Date: 9/20/1997

Current Firm

DOUGLAS C. LANE & ASSOCIATES

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DOUGLAS C. LANE & ASSOCIATES

TRUST BUT VERIFY

Similar Advisors