Alan S. Kane
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alan Steven Kane, CFP® was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1982. Alan had worked at 5 firms and has passed the Series 65, Series 63, Series 15, Series 7, Series 5, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1986
Experience
August 30, 2006 - January 8, 2026
MORTON WEALTH
May 18, 2000 - December 20, 2002
INVESTMENT SECURITY CORPORATION
June 1, 1998 - September 27, 2006
MORTON MANAGEMENT, INC.
June 15, 1989 - June 17, 1998
GRUNTAL & CO., L.L.C.
September 28, 1982 - June 13, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
MORTON WEALTH
CRD#: 141250 / SEC#: 801-67025
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 2/5/1987
Foreign Currency Options ExaminationSeries 5
Date: 8/18/1982
Interest Rate Options ExaminationSeries 8
Date: 11/7/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORTON WEALTH
CRD#: 141250 / SEC#: 801-67025
Contact information
SEC notice filing (17 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,622 |
| AUM (Assets Under Management) | $ 2,956,328,474 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/31/2025 | ||
| 10/30/2023 | ||
| 06/21/2023 | ||
| 02/14/2023 | ||
| 11/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
