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ML

Mercedes A. Lane

Some features on this profile are disabled
CRD#: 4127468
ML

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.

Mercedes Anne Lane was a registered financial professional .

Mercedes is a previously registered financial professional and started their career in finance in 2004. Mercedes had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1)Compass Rose Strategic Partners LLC;investment related;426 BOSTON POST ROAD SUITE A WATERFORD, CT 06385;RIA;non-producing reg associate;9/28/2015;40+ hrs/week;assist financial advisors 2)- Triad Advisors;5155 Peachtree Parkway, #3220 Norcross, GA 30092 Broker-dealer; investment related, Registered admin, 9/2015, 40+ hours a month, 1.5 hours during trading hours. 3)Mercedes A Lane;investment related;426 Boston Post Road,Ste A,Waterford,CT 06385;client services manager;5/9/2018;30 minutes/year;30 minutes/year;notarize documents

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

June 27, 2024 - August 5, 2024

VANDERBILT SECURITIES, LLC

BD
CRD#: 5953
Waterford, CT
Past

October 20, 2015 - August 13, 2024

COMPASS ROSE STRATEGIC PARTNERS LLC

RIA
CRD#: 165043
WATERFORD, CT
Past

September 29, 2015 - June 27, 2024

TRIAD ADVISORS LLC

BD
CRD#: 25803
Waterford, CT
Past

June 18, 2012 - October 20, 2015

EDWARD JONES

RIA
CRD#: 250
OLD SAYBROOK, CT
Past

June 18, 2012 - October 20, 2015

EDWARD JONES

BD
CRD#: 250
OLD SAYBROOK, CT
Past

June 1, 2009 - October 6, 2010

MORGAN STANLEY

RIA
CRD#: 149777
NEW HAVEN, CT
Past

June 1, 2009 - October 6, 2010

MORGAN STANLEY

BD
CRD#: 149777
NEW HAVEN, CT
Past

November 11, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEW HAVEN, CT
Past

April 1, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW HAVEN, CT
Past

September 1, 2004 - January 7, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
ESSEX, CT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/8/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/20/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/2004
General Securities Representative Examination

Current Firm

VS
VANDERBILT SECURITIES, LLC
RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES

CRD#: 5953 / SEC#: , 8-16712

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
125 Froehlich Farm Blvd., Woodbury, NY 11797
Mailing Address
125 Froehlich Farm Blvd., Woodbury, NY 11797
Phone number
(631) 845-5100
Established
New York since 12/05/2001
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VANDERBILT CAPITAL, LLCSOLE OWNER
ANTENOR, JR, DANIELCHIEF OPERATIONS OFFICER/OPTIONS/MUNI5839052
DISTANTE, STEPHEN ALFREDCEO - LIMITED PARTNER2206574
PLAPP, MEGAN LYNNFINOP, POO, PFO, CFO6790596
THOMAS, MICHELLE DENISECHIEF COMPLIANCE OFFICER2210435
TRIFILETTI, JOSEPH JOHNPRESIDENT5295897

Disclosures

Regulatory Event5
Arbitration1

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.

Company Information

VANDERBILT SECURITIES, LLC

CRD#: 5953

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