Barbara A. Lane

PATHFINDER ADVISORY

Rockford, IL 61108

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CRD#: 3240667

Professional summary

Barbara Ann Lane, who also goes by Barbara Johnson, is a registered financial advisor currently at PATHFINDER ADVISORY, INC. located in Rockford, Illinois.

Barbara is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Barbara has worked at 5 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Barbara Johnson

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 Barbara Ann Lane's 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

March 3, 2011 - Present

PATHFINDER ADVISORY, INC.

Office #1: 6981 Redansa Dr, Rockford, IL 61108

RIA

CRD#: 122768

Rockford, IL

Past

June 22, 2009 - February 14, 2011

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

ROCKFORD, IL

Past

September 16, 2008 - December 16, 2008

J.W. COLE FINANCIAL, INC.

CRD#: 124583

ROCKFORD, IL

Past

December 17, 2001 - July 25, 2002

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

December 10, 1999 - December 14, 2001

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

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

Illinois
(3/3/2011)

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

State Security Law Exam

IAR

Series 65

Date: 4/1/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/1/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/15/2008

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/31/2001

Investment Company Products/Variable Contracts Principal Examination

Current Firm

PATHFINDER ADVISORY, INC.

PATHFINDER ADVISORY, INC. | PATHFINDER WEALTH MANAGEMENT, INC.

CRD#: 122768 / SEC#: 801-63573

RIA

Registered Investment Advisory firm - (2/22/2012 Terminated)

Illinois

Registered Investment Advisory firm - (9/29/2011 Approved)

Indiana

Registered Investment Advisory firm - (12/11/2024 Terminated)

Texas

Registered Investment Advisory firm - (12/16/2024 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (2/16/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

6981 Redansa Dr, Rockford, IL 61108

Mailing Address

Phone number

(815) 399-9806

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	334
AUM (Assets Under Management)	$ 97,064,596

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.

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Barbara A. Lane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barbara Ann Lane's CRS (Customer Relationship Summary).

Certified licenses

Experience

PATHFINDER ADVISORY, INC.

BROOKSTONE CAPITAL MANAGEMENT LLC

J.W. COLE FINANCIAL, INC.

LOCUST STREET SECURITIES, INC.

WMA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/1/2009

Series 63

Date: 7/1/2008

Series 6

Date: 9/15/2008

Series 26

Date: 5/31/2001

Current Firm

PATHFINDER ADVISORY, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PATHFINDER ADVISORY, INC.

TRUST BUT VERIFY

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