Carole Ann Lane

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2013 → 07/2021
  Waddell & Reed, Inc
  Irvine, CA
• 05/2013 → 07/2021
  Various Insurance Carriers For W&R Insurance Agencies
  Tustin, CA
• 05/2013 → 11/2020
  Mass Mutual Financial Group
  Irvine, CA
• 07/2021 → Present
  Lpl Financial Llc
  Irvine, CA

Previous Registrations

• 2013-05-07 → 2021-07-21
  Waddell & Reed
  Irvine, CA
  Las Vegas, NV
  Irvine, CA
• 2009-06-09 → 2013-05-10
  Mml Investors Services, Llc
  Newport Beach, CA
• 2006-04-13 → 2009-05-13
  Ubs Financial Services Inc.
  Newport Beach, CA
• 1997-12-15 → 2006-04-12
  Ameriprise Financial Services, Llc
  Irvine, CA
  Irvine, CA

Other Businesses

1) 7/2021 - DBA for LPL Business (entity for LPL business) - C.A. Lane Wealth Management - Investment Related - Irvine, CA, 92606 2) 6/2021 - Non-Variable Insurance - Carole Lane Insurance, LLC - Investment Related - Irvine, CA, 92606

Exams

• S66 Uniform Combined State Law Examination
  2006-06-12
• S63 Uniform Securities Agent State Law Examination
  1994-02-04

Other Names

• Carole Marting