Mr. Lang is a member of Stark & Stark’s Investment Management & Securities Group. Mr. Lang has over 25 years of regulatory and compliance experience, including SEC, FINRA, and global corporate compliance expertise. Mr. Lang has served as a Chief Compliance Officer with both large institutional and start-up registered investment advisers. Mr. Lang concentrates his practice on all facets of Investment Adviser and Broker-Dealer compliance, managed accounts, oversight of business practices and supervision, and risk assessments. He also has extensive experience in managing SEC, FINRA, and state regulatory examinations.
He has obtained both Certified Financial Planner (CFP) and Investment Adviser Certified Compliance Professional designations. Mr. Lang has also completed the Certified Regulatory and Compliance Professional program offered by the FINRA Institute at Wharton.
Mr. Lang has held the Series 7, 9, 10, 24, 63 and 65 FINRA securities licenses.
