SL
Stephen C. Lane
THE PERSPECTIVE GROUP
Lawrence, KS 66044
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CRD#: 4826768
SL
Professional summary
Stephen Christopher Lane, CFP® is a registered financial advisor currently at THE PERSPECTIVE GROUP located in Lawrence, Kansas and LPL FINANCIAL LLC located in Lawrence, Kansas.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Stephen has worked at 2 firms and has passed the Series 66, Series 52TO, SIE, Series 31, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) 03/24/2005: THE PERSPECTIVE GROUP - TAX PREP / ACCOUNTING / BOOKKEEPING - TAX PREPARATION (2) 07/24/2012: DBA ONLY / THE PERSPECTIVE GROUP / TIME SPENT 5% - LAWRENCE, KS (3) 10/8/2013: NOTARY - THE PERSPECTIVE GROUP - I HAVE A NOTARY STAMP. - TIME SPENT 0% - LAWRENCE, KS. (4) 08/22/2016 * The Perspective Group * Registered Investment Advisor Hybrid * (Hybrid) * INV REL * 900 Massachusetts, Suite 602, Lawrence, KS 66044 * START 07/01/2015 * I provide investment advisory services through The Perspective Group, an independent investment advisor firm. I started this business activity in October 2015. I expect to spend approximately 80 hours per month] on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. * 80 HRS/MO; 4 DURING SECS TRDG HRS. (5) 1/10/2022 - No Business Name - Investment Related - Lawrence, KS 66044 - Real Estate Rental (sublease) an office - Start Date: 1/15/2022 - 1 Hours Per Month/0 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Christopher 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®
CFP®
Start date: 2008
Experience
Current
November 13, 2015 - Present
THE PERSPECTIVE GROUP
Office #1: 900 Massachusetts Street Suite 602, Lawrence, KS 66044RIA
CRD#: 175294
Lawrence, KS
Current
July 29, 2004 - Present
LPL FINANCIAL LLC
Office #1: 900 Massachusetts, Ste 602, Lawrence, KS 66044RIA
BD
CRD#: 6413
Lawrence, KS
Past
September 3, 2004 - September 8, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAWRENCE, KS
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TP
THE PERSPECTIVE GROUP
THE PERSPECTIVE GROUP | THE PERSPECTIVE GROUP, LLC
CRD#: 175294 / SEC#: 801-119555
RIA
Registered Investment Advisory firm - (10/6/2020 Approved)Kansas
Registered Investment Advisory firm - (10/8/2020 Terminated)Missouri
Registered Investment Advisory firm - (10/8/2020 Terminated)Nebraska
Registered Investment Advisory firm - (10/8/2020 Terminated)Texas
Registered Investment Advisory firm - (10/8/2020 Terminated)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.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
Arizona(6/25/2012)
RR
California(6/25/2012)
RR
Colorado(6/25/2012)
RR
Florida(6/25/2012)
RR
Georgia(1/9/2020)
RR
Hawaii(12/11/2024)
RR
Illinois(5/13/2010)
RR
Indiana(1/8/2015)
RR
Kansas(9/3/2004)
IAR
Kansas(1/11/2016)
RR
Kentucky(1/9/2020)
RR
Louisiana(1/23/2020)
RR
Mississippi(1/9/2020)
RR
Missouri(1/5/2007)
RR
Nebraska(1/17/2019)
RR
Nevada(11/19/2014)
RR
New Jersey(1/9/2020)
RR
New York(1/16/2025)
RR
North Carolina(4/28/2010)
RR
Ohio(5/24/2012)
RR
Pennsylvania(6/25/2012)
RR
South Carolina(6/15/2010)
RR
Tennessee(1/3/2022)
RR
Texas(2/18/2005)
IAR
Texas(12/11/2018)
RR
Virginia(3/8/2017)
RR
Washington(6/25/2012)
RR
Wisconsin(9/14/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TP
THE PERSPECTIVE GROUP
THE PERSPECTIVE GROUP | THE PERSPECTIVE GROUP, LLC
CRD#: 175294 / SEC#: 801-119555
RIA
Registered Investment Advisory firm - (10/6/2020 Approved)Kansas
Registered Investment Advisory firm - (10/8/2020 Terminated)Missouri
Registered Investment Advisory firm - (10/8/2020 Terminated)Nebraska
Registered Investment Advisory firm - (10/8/2020 Terminated)Texas
Registered Investment Advisory firm - (10/8/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
900 Massachusetts Street Suite 602, Lawrence, KS 66044
Mailing Address
Phone number
(785) 749-1881
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 552 |
| AUM (Assets Under Management) | $ 173,993,924 |
Red Flags
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Company Information
THE PERSPECTIVE GROUP
CRD#: 175294Lawrence, KS 66044TRUST BUT VERIFY
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