John K. 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.
John Kerns Lane, who also goes by Jack Lane, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 6 firms and has passed the Series 65, Series 63, SIE, PC, Series 7, Series 1, Series 000, Series 24, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2006 - August 16, 2016
WILLIAM BLAIR
January 7, 2000 - August 16, 2016
WILLIAM BLAIR
September 4, 1990 - April 11, 2001
WELLS FARGO CLEARING SERVICES, LLC
February 23, 1988 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
August 9, 1984 - February 8, 1988
E. F. HUTTON & COMPANY INC
December 22, 1981 - May 30, 1984
CIBC WORLD MARKETS CORP.
April 21, 1972 - January 7, 1982
SALOMON BROTHERS INC.
Primary Firm SEC Registration
WILLIAM BLAIR
CRD#: 1252 / SEC#: 801-688, 8-2698
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
PC
Date: 5/11/1981
AMEX Put and Call ExamSeries 1
Date: 4/13/1972
Registered Representative ExaminationSeries 000
Date: 4/12/1972
General Securities Principal ExaminationSeries 8
Date: 7/7/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 11/17/1978
Registered Principal ExaminationCurrent Firm
WILLIAM BLAIR
CRD#: 1252 / SEC#: 801-688, 8-2698
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WBC HOLDINGS, L.P. | HOLDING COMPANY | |
| CITARDI, CISSIE | EXECUTIVE COMMITTEE, GENERAL COUNSEL | 6642613 |
| DEVORE, RYAN JACOB | EXECUTIVE COMMITTEE | 3049671 |
| DUWA, ROBERT J | EXECUTIVE COMMITTEE | 2931296 |
| GLEDHILL, BRENT WALKER | PRESIDENT, CEO | 2921069 |
| MCLAUGHLIN, SCOTT THOMAS | EXECUTIVE COMMITTEE | 2481285 |
| QUINN, MICHAEL PATRICK | EXECUTIVE COMMITTEE | 3257072 |
| RASAVONGXAY, WILLSON B | CHIEF COMPLIANCE OFFICER | 6593731 |
| SATTERFIELD, BETH A | EXECUTIVE COMMITTEE | 6011858 |
| TOLE, STEVEN ROBERT | EXECUTIVE COMMITTEE | 5885283 |
| TRIMBERGER, MICHAEL WILLIAM | CFO | 5329834 |
| ZIMMER, MATTHEW MONTGOMERY | EXECUTIVE COMMITTEE | 4157826 |
Regulatory assets under management
| Total Number of Accounts | 37,973 |
| AUM (Assets Under Management) | $ 58,329,726,421 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
| Bond | 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.
