Individual Firm
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DANIEL JOSEPH LANE
CRD#: 4521546
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 ANDOVER, OH
CETERA ADVISOR NETWORKS LLCCRD#: 13572 ANDOVER, OH
View By:
1/20/2021
Customer Dispute
Settled
State Registrations
B
Arizona 1/2/2015
IA
Ohio 3/18/2010
B
Florida 9/3/2013
B
Ohio 9/3/2013
B
Illinois 5/22/2018
B
Pennsylvania 9/3/2013
B
Kentucky 8/22/2016
IA
Pennsylvania 2/15/2018
B
Maryland 9/3/2013
B
South Carolina 6/27/2017
B
New York 6/9/2022
B
Tennessee 9/3/2013
B
North Carolina 9/6/2019
B
Washington 3/27/2014
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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IA
Registered with this firm since 6/29/2023
B
Registered with this firm since 9/3/2013
IA
Registered with this firm since 3/18/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/03/2013 - 06/29/2023 | BROADVIEW HEIGHTS, OH | |
IA | 03/01/2010 - 09/03/2013 | VALLEY VIEW, OH | |
B | 02/25/2010 - 09/03/2013 | VALLEY VIEW, OH | |
IA | 08/21/2002 - 03/02/2010 | MAYFIELD HEIGHTS, OH | |
B | 06/20/2002 - 03/02/2010 | MAYFIELD HEIGHTS, OH | |
B | 06/20/2002 - 07/03/2006 | MINNEAPOLIS, MN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.