Gary H. Lane
Professional summary
Gary Harrison Lane was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gary is a previously registered financial advisor and started their career in finance in 1980. Prior to being barred, Gary had worked at 7 firms, which includes MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, BANC OF AMERICA INVESTMENT SERVICES INC., BA INVESTMENT SERVICES INC., INVEST FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2009 - March 25, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - March 25, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 15, 2002 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 12, 1999 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 10, 1997 - July 12, 1999
BA INVESTMENT SERVICES, INC.
March 20, 1991 - March 11, 1997
INVEST FINANCIAL CORPORATION
December 21, 1990 - February 15, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
December 19, 1990 - February 15, 1991
IDS LIFE INSURANCE COMPANY
July 31, 1989 - June 29, 1990
MORGAN STANLEY DW INC.
August 19, 1980 - January 1, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
