Lane Prince
Professional summary
Lane Prince, who also goes by Lane Jarret Prince, Lane Prince, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
Lane is registered as a RR (Registered Representative) and started their career in finance in 2002. Lane has worked at 7 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 55, Series 7, Series 9, Series 10, Series 4, Series 14A and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lane Prince's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 2, 2015 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017April 15, 2014 - November 2, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 15, 2010 - February 27, 2014
BARCLAYS CAPITAL INC.
February 24, 2006 - December 17, 2010
MORGAN STANLEY & CO. LLC
December 16, 2003 - March 8, 2006
CITIGROUP GLOBAL MARKETS INC.
March 25, 2002 - December 5, 2003
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
February 8, 2002 - December 15, 2003
REDI GLOBAL TECHNOLOGIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/2/2015)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 8/14/2006
Limited Representative-Equity Trader ExamSeries 14A
Date: 2/26/2003
Compliance Official Specialist ExamFINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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