Robert D. Lane

DOUGLAS C. LANE & ASSOCIATES

Boca Grande, FL 33921

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CRD#: 873115

Professional summary

Robert David Lane is a registered financial advisor currently at DOUGLAS C. LANE & ASSOCIATES located in Boca Grande, Florida.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Robert has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5 and Series 7 exams.

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert David Lane's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 17, 2021 - Present

DOUGLAS C. LANE & ASSOCIATES

Office #1: 341 Palm Ave., Boca Grande, FL 33921

RIA

CRD#: 282563

Boca Grande, FL

Past

June 1, 2009 - April 15, 2015

MORGAN STANLEY

RIA

CRD#: 149777

MADISON, CT

Past

June 1, 2009 - April 15, 2015

MORGAN STANLEY

CRD#: 149777

MADISON, CT

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

MADISON, CT

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

MADISON, CT

Past

August 30, 1991 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

MADISON, CT

Past

May 2, 1988 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

MADISON, CT

Past

October 12, 1984 - May 16, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

November 1, 1979 - October 12, 1984

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

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

Florida
(2/17/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/3/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/7/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/15/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/10/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 10/16/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 10/20/1979

General Securities Representative Examination

Current Firm

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)

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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

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DCLA BROCHURE (3/28/2025)

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	Cover Page	Report
12/15/2023	Cover Page	Report
08/03/2022	Cover Page	Report

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.

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Robert D. Lane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert David Lane's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

DOUGLAS C. LANE & ASSOCIATES

State Registrations and Notice Filings

Exams

Series 65

Date: 2/3/2021

Series 63

Date: 11/7/1979

SIE

Date: 4/15/2015

Series 3

Date: 7/10/1986

Series 5

Date: 10/16/1981

Series 7

Date: 10/20/1979

Current Firm

DOUGLAS C. LANE & ASSOCIATES

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DOUGLAS C. LANE & ASSOCIATES

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