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JL

John G. Lane

Some features on this profile are disabled
CRD#: 4532958
JL

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 G Lane was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2002. John had worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, Series 79TO, SIE, Series 79, Series 7 and Series 31 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.
The advisor shows no other business activity.

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

August 20, 2012 - October 12, 2020

GCMI SECURITIES CORP.

BD
CRD#: 139520
IRVINE, CA
Past

March 17, 2008 - June 8, 2009

TD AMERITRADE, INC.

BD
CRD#: 7870
PHILADELPHIA, PA
Past

March 12, 2008 - June 8, 2009

TD AMERITRADE, INC.

RIA
CRD#: 7870
PHILADELPHIA, PA
Past

March 12, 2008 - June 8, 2009

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
PHILADELPHIA, PA
Past

February 8, 2006 - March 16, 2007

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
NEWARK, DE
Past

February 8, 2006 - March 16, 2007

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
NEWARK, DE
Past

June 4, 2004 - May 27, 2005

TD WEALTH MANAGEMENT SERVICES INC.

RIA
CRD#: 6940
SOUTH PLAINFIELD, NJ
Past

June 4, 2004 - May 27, 2005

TD WEALTH MANAGEMENT SERVICES INC.

BD
CRD#: 6940
PHILADELPHIA, PA
Past

August 22, 2002 - October 15, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
WILMINGTON, DE
Past

July 8, 2002 - October 15, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
Series 63
Date: 11/12/2012
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 7/29/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/24/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/24/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/27/2013
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 9/20/2002
Futures Managed Funds Examination

Current Firm

GS
GCMI SECURITIES CORP.
GCMI SECURITIES CORP.

CRD#: 139520 / SEC#: , 8-67225

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
19200 Von Karman Avenue Suite 210, Irvine, CA 92612
Mailing Address
19200 Von Karman Avenue Suite 210, Irvine, CA 92612
Phone number
(949) 252-4600
Established
California since 12/14/2005
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GLOBAL CAPITAL MARKETS, INC.PARENT COMPANY
HOLMES, STEPHEN GARYPRESIDENT/CCO5089576
TARRA, SCOTT PATRICKFINOP/POO/PFO4593965
WILSER, MARK STEPHENVICE PRESIDENT/PRINCIPAL5089578

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

GCMI SECURITIES CORP.

CRD#: 139520

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