Allan P. Recht
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.
Allan Philip Recht, who also goes by Allan P Recht, was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 1978. Allan had worked at 10 firms and has passed the Series 65, Series 63, Series 5, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2021 - January 5, 2022
DOUGLAS C. LANE & ASSOCIATES
September 27, 2011 - March 2, 2021
CREATIVE PLANNING
April 29, 2011 - September 21, 2011
CAMARDA WEALTH ADVISORY GROUP
February 3, 2006 - May 31, 2006
STANFORD GROUP COMPANY
January 19, 2006 - May 31, 2006
STANFORD GROUP COMPANY
February 12, 2002 - July 18, 2005
FISHER INVESTMENTS
March 26, 2001 - October 1, 2001
QUICK & REILLY, INC.
May 6, 1997 - January 30, 1998
BARNETT INVESTMENTS, INC.
June 17, 1991 - July 26, 1996
M&I FINANCIAL ADVISORS, INC
October 12, 1979 - June 29, 1989
ROBERT W. BAIRD & CO. INCORPORATED
August 7, 1978 - February 9, 1980
ALL AMERICAN MANAGEMENT CORPORATION
Primary Firm SEC Registration
DOUGLAS C. LANE & ASSOCIATES
CRD#: 282563 / SEC#: 801-107161
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
Series 5
Date: 1/30/1982
Interest Rate Options ExaminationSeries 1
Date: 8/2/1978
Registered Representative ExaminationCurrent Firm
DOUGLAS C. LANE & ASSOCIATES
CRD#: 282563 / SEC#: 801-107161
Contact information
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
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.
