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Investment Adviser Firm Summary

DOUGLAS LANE & ASSOCIATES, LLC (CRD# 282563 / SEC# 801-107161)
Alternate Names: DOUGLAS C. LANE & ASSOCIATES , DOUGLAS LANE & ASSOCIATES, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/01/2016

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 01/01/2016
Alaska 01/01/2016
Arizona 01/01/2016
California 01/01/2016
Colorado 01/01/2016
Connecticut 01/01/2016
Delaware 01/01/2016
District of Columbia 01/01/2016
Florida 01/08/2016
Georgia 01/01/2016
Hawaii 01/01/2016
Idaho 01/01/2016
Illinois 01/19/2016
Indiana 01/01/2016
Iowa 03/27/2018
Kentucky 01/01/2016
Louisiana 01/01/2016
Maine 01/01/2016
Maryland 01/01/2016
Massachusetts 01/01/2016
Michigan 01/01/2016
Minnesota 01/01/2016
Mississippi 01/01/2016
Missouri 01/01/2016
Montana 01/01/2016
Nevada 01/01/2016
New Hampshire 01/01/2016
New Jersey 02/05/2016
New Mexico 01/01/2016
New York 01/01/2016
North Carolina 01/01/2016
North Dakota 01/01/2016
Ohio 01/01/2016
Oklahoma 01/01/2016
Oregon 01/01/2016
Pennsylvania 01/01/2016
Puerto Rico 01/01/2016
Rhode Island 01/01/2016
South Carolina 01/01/2016
Tennessee 01/01/2016
Texas 01/01/2016
Utah 01/01/2016
Vermont 01/01/2016
Virgin Islands 03/27/2017
Virginia 01/01/2016
Washington 01/01/2016
West Virginia 01/01/2016
Wisconsin 01/01/2016

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser