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David Marsh Lane

Barclays Capital Inc.

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About David Marsh Lane

David Marsh Lane is a securities professional with over 20 years of experience in the industry. David has held positions at several prominent firms including Salomon Brothers Inc., Lehman Brothers Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Deutsche Bank Securities Inc. and UBS Securities LLC. Currently, David is registered with Barclays Capital Inc. in New York, New York and is a Series 7 and Series 63 licensed professional.

Firm Information

David Lane is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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David Lane’s Registration & Firm History

NY

09/06/2017 - Present

Barclays Capital Inc. (NEW YORK NY)

CT

09/08/2010 - 09/11/2017

UBS SECURITIES LLC (STAMFORD CT)

NY

05/08/2006 - 12/31/2008

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

01/31/2005 - 05/05/2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

03/11/2004 - 04/12/2004

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

03/31/2000 - 09/12/2002

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

09/01/1998 - 04/20/2000

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

03/31/1994 - 09/01/1998

SALOMON BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/25/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/30/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for David Marsh Lane.
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