linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

John Warren Lane

Roth Capital Partners, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you John? Claim Your Profile

About John Warren Lane

John Warren Lane is a securities professional with over 27 years of experience in the financial services industry. John has a strong background in securities trading, having held positions at several prominent firms including Salomon Smith Barney Inc., Cantor Fitzgerald & Co., and MKM Partners LLC. John is currently registered with Roth Capital Partners, LLC, a broker-dealer and investment advisor headquartered in Newport Beach, California. John is licensed to conduct securities business in California and Connecticut.

Firm Information

John Lane is currently registered with Roth Capital Partners, LLC. Roth Capital Partners, LLC is a Limited Liability Company formed on January 10, 2001. The firm provides investment advisory services, including distribution of sell-side research reports/corporate access and acting as a solicitor. They have a presence in 52 states and the District of Columbia. Roth Capital Partners, LLC primarily serves investment companies and other investment advisors, with a reported 70 clients in these categories. The firm has disclosed 16 regulatory events and 12 arbitration events.

Not reported

Assets Under Management

Not reported

Total Clients

85

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.

check

(1) distribution of sell-side research reports/corporate access (2) solicitor

(1) distribution of sell-side research reports/corporate access (2) solicitor

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

John Lane’s Registration & Firm History

CA

01/31/2023 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

CA

01/02/2019 - 01/31/2023

MKM PARTNERS LLC (NEWPORT BEACH CA)

CA

08/17/2001 - 01/30/2019

CANTOR FITZGERALD & CO. (LOS ANGELES CA)

NY

09/11/1995 - 07/31/2001

SALOMON SMITH BARNEY INC. (NEW YORK NY)

Not sure if John Warren Lane is right for you?

Licenses & Designations

BC

Issued 12/07/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/05/2002

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/17/2001

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 09/08/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for John Warren Lane.
Not sure if John Warren Lane is right for you?