David J. Lane
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.
David James Lane, who also goes by David Lane, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2014. David had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2020 - March 25, 2026
DAVID JAMES FINANCIAL
January 2, 2020 - October 15, 2025
PRIVATE CLIENT SERVICES, LLC
July 15, 2016 - January 2, 2020
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
September 16, 2014 - December 31, 2019
RDA FINANCIAL NETWORK
August 20, 2014 - July 28, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
Primary Firm SEC Registration
DAVID JAMES FINANCIAL
CRD#: 306301 / SEC#: 801-123332
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DAVID JAMES FINANCIAL
CRD#: 306301 / SEC#: 801-123332
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 391 |
| AUM (Assets Under Management) | $ 116,123,826 |
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.
