Zane N. Lindley
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.
Zane Neal Lindley was a registered financial professional .
Zane is a previously registered financial professional and started their career in finance in 1978. Zane had worked at 3 firms and has passed the Series 63, Series 7, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 1984 - December 31, 1988
SINCLAIR & COMPANY SECURITIES, INC.
November 7, 1981 - December 12, 1983
FOSTER & MARSHALL INC.
September 24, 1981 - December 12, 1983
FOSTER & MARSHALL INC.
June 11, 1980 - November 6, 1981
MORGAN STANLEY DW INC.
September 1, 1978 - June 27, 1980
FOSTER & MARSHALL INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 12
Date: 12/19/1981
NYSE Branch Manager ExaminationCurrent Firm
SINCLAIR & COMPANY SECURITIES, INC.
CRD#: 13078 / SEC#: , 8-28562
Contact information
Documents
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.
