Jeffrey A. Lang

Shareholder

Jeffrey Lang is a member of Stark & Stark’s Investment Management & Securities Group. Mr. Lang has over 30 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.

Bar/Court Admissions

New Jersey
Connecticut

Education

Diploma in Financial Planning Program, Boston University, 2003
J.D., Syracuse University College of Law, 1989, Moot Court Board
B.S., Finance, The University of Connecticut, 1986

Thought Leadership

Quoted, RIA Aggregators’ Fee Schedules Come Under Scrutiny by SEC. Citywire. March 26, 2026.
Presenter, The ADV Trap: Common Mistakes That Could Cost You—And How to Avoid Them. RIA Compliance and Legal Strategies Conference. December 4, 2025.
Presenter, Tech Trends: Bitcoin, AI, & Electronic Communication. RIA Compliance and Legal Strategies Conference. December 4, 2025.
Presenter, Compliance & Legal Issues Surrounding Your Tech Stack. Bob Veres’ Insider Forum. September 23, 2025.
Presenter, Promoting Your RIA Compliantly Under the SEC Marketing Rule Using Rankings, Testimonials, and Endorsements. Kitces IAR Ethics CE Day 2025. August 28, 2025.
Presenter, Basic Blocking and Tackling: The RIA Playbook for Daily, Monthly, Quarterly, and Annual Compliance Tasks. RIA Compliance and Legal Strategies Conference. September 24, 2024.
Presenter, From Compliance to Creativity: Balancing Marketing Rule Compliance and Innovative Marketing. RIA Compliance and Legal Strategies Conference. September 24, 2024.
Presenter, State of the RIA Regulatory Landscape. RIA Compliance and Legal Strategies Conference. November 9, 2023.
Presenter, Compliance and Disclosures: Highlighting the Importance of Properly Drafted ADV, Agreements, and Policies. RIA Compliance and Legal Strategies Conference. November 9, 2023.
Presenter, Preparing for Your DOL Rollover Audit. RIA Compliance and Legal Strategies Conference. June 1, 2023.
Presenter, Compliance Battle Plan and Successfully Navigating Your Next Regulatory Exam: Achieving Compliance & Managing Risk. RIA Compliance and Legal Strategies Conference. June 1, 2023.
Presenter, Five Critical Compliance Areas. National Association of Personal Financial Advisors (NAPFA) Webinar. February 16, 2023.
Presenter, Protect Your Investment Advisory Business From a Cyber Security Attack. Lunch & Learn Seminar. December 8, 2022.
Presenter, Top Regulatory Updates So You Can Sleep At Night. National Association of Personal Financial Advisors Webinar. September 8, 2022.
Quoted, SEC Cautions Advisers Against ‘Extraneous’ Use of Term ‘Fiduciary’. National Association of Plan Advisors. April 15, 2022.
Presenter, Fall Compliance Clean-Up. Stark & Stark Webinar. October 14, 2021.

Professional Organizations

New Jersey Bar Association
Connecticut Bar Association
Town of Mansfield – Massachusetts Finance Committee, 2000-2003

Community Organizations

Lawrence Historical Society Trustee and Board Member, 2022 – Present
Lawrence NJ Trails & Open Space Committee, 2014 – Present
EASEL Animal Rescue League; Board member, 2018 – Present

Services

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