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CL

Carlos A. Lane

CEIBA FINANCIAL
Fullerton, CA 92835
Some features on this profile are disabled
CRD#: 4665099
CL

Professional summary

Carlos Andres Lane is a registered financial professional currently at CEIBA FINANCIAL, LLC located in Fullerton, California.

Carlos is registered as a RR (Registered Representative) and started their career in finance in 2015. Carlos has worked at 2 firms and has passed the Series 63, Series 7TO, Series 82TO, SIE, Series 79 and Series 24 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) - BD

Click below to view Carlos Andres 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

April 26, 2019 - Present

CEIBA FINANCIAL, LLC

Office #1: 1831 Lexington Dr., Fullerton, CA 92835
BD
CRD#: 298977
Fullerton, CA
Past

May 29, 2015 - January 23, 2018

TAYLOR FINANCIAL SERVICES, LLC

BD
CRD#: 111901
WASHINGTON, DC

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/9/2019)
RR
Connecticut
(9/25/2024)
RR
District of Columbia
(6/13/2019)
RR
Florida
(4/8/2024)
RR
Massachusetts
(10/16/2023)
RR
Nevada
(8/12/2020)
RR
New York
(8/20/2023)
RR
Ohio
(8/21/2023)
RR
Virginia
(8/1/2022)
RR
Washington
(9/2/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/22/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/20/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/28/2019
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 1/23/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 5/28/2015
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/2/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CEIBA FINANCIAL, LLC
CEIBA FINANCIAL, LLC

CRD#: 298977 / SEC#: , 8-70236

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

Main Address
1831 Lexington Dr., Fullerton, CA 92835
Mailing Address
1831 Lexington Dr., Fullerton, CA 92835
Phone number
(202) 297-3737
Established
California since 10/03/2018
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
LANE, CARLOS ANDRESCEO/CCO4665099
COSTENBADER, WALTER RUSSELLFINOP1828345

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

CEIBA FINANCIAL, LLC

CRD#: 298977Fullerton, CA 92835

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