FE
Frasier Esty
DOUGLAS C. LANE & ASSOCIATES
New York, NY 10017
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CRD#: 7419801
FE
Professional summary
Frasier Esty is a registered financial advisor currently at DOUGLAS C. LANE & ASSOCIATES located in New York, New York.
Frasier is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Frasier has worked at 1 firm .
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Frasier Esty'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®
NoneExperience
Current
November 18, 2021 - Present
DOUGLAS C. LANE & ASSOCIATES
Office #1: One Dag Hammarskjold Plaza 885 Second Avenue 42 Floor, New York, NY, 10017RIA
CRD#: 282563
New York, NY
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".
DC
DOUGLAS C. LANE & ASSOCIATES
DOUGLAS C. LANE & ASSOCIATES | DOUGLAS LANE & ASSOCIATES, LLC
CRD#: 282563 / SEC#: 801-107161
RIA
Registered Investment Advisory firm - (1/1/2016 Approved)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.Highlighted states indicate IAR registrations
IAR
New York(11/18/2021)
Exams
Current Firm
DC
DOUGLAS C. LANE & ASSOCIATES
DOUGLAS C. LANE & ASSOCIATES | DOUGLAS LANE & ASSOCIATES, LLC
CRD#: 282563 / SEC#: 801-107161
RIA
Registered Investment Advisory firm - (1/1/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Dag Hammarskjold Plaza 885 Second Avenue 42 Floor, New York, NY, 10017
Mailing Address
Phone number
(212) 262-7670
Established
Firm type
Fiscal year end
# of Employees
37
SEC notice filing (48 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,608 |
| AUM (Assets Under Management) | $ 8,230,575,270 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2024 | ||
| 12/15/2023 | ||
| 08/03/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
