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JK

Joseph C. Kane

Some features on this profile are disabled
CRD#: 1158547
JK

Professional summary

Joseph Charles Kane JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joseph is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Joseph had worked at 2 firms, which includes LAIDLAW GLOBAL SECURITIES INC., MORGAN STANLEY DW INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 16, 1995 - May 8, 1997

LAIDLAW GLOBAL SECURITIES, INC.

BD
CRD#: 19018
NEW YORK, NY
Past

July 20, 1983 - September 27, 1995

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/7/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/15/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1983
General Securities Representative Examination

Current Firm

LG
LAIDLAW GLOBAL SECURITIES, INC.
LAIDLAW EQUITIES, INC. | NYCR INVESTMENTS, INC. | LAIDLAW HOLDINGS, INC. | LAIDLAW GLOBAL SECURITIES, INC.

CRD#: 19018 / SEC#: , 8-37024

BD
Terminated by SEC on 01/12/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/23/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LAIDLAW HOLDINGS, INC.PARENT COMPANY
BENDELAC, ROGER EMILEDIRECTOR, CEO & GSP715445
CAMACHO, MILMARINADIRECTOR AND FINOP4045228
DELAPLAIN, ROBERT CHARLES JRCOO, SROP, MP, SVP, GSP1017107
NEYMAN, ARKADIYEXECUTIVE VP, COMPLIANCE OFFICER, ROP, GSP, CROP2775768

Disclosures

Regulatory Event9
Arbitration4

Red Flags

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Company Information

LAIDLAW GLOBAL SECURITIES, INC.

CRD#: 19018

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