Thomas M. 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.
Thomas Michael Kane, who also goes by Thomas M Kane, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 7 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 25, Series 55, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2024 - November 5, 2025
TTBD, LLC
September 2, 2021 - September 1, 2023
ANOS CAPITAL, LLC
September 20, 2013 - August 24, 2021
TRADE INFORMATICS LLC
July 6, 2009 - January 17, 2013
MND PARTNERS, INC.
October 1, 2008 - April 23, 2009
J.P. MORGAN SECURITIES LLC
February 12, 2002 - October 1, 2008
J.P. MORGAN SECURITIES INC.
August 24, 1983 - February 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 25
Date: 3/19/2010
NYSE Trading Assistant ExaminationSeries 55
Date: 3/3/2006
Limited Representative-Equity Trader ExamCurrent Firm
TTBD, LLC
CRD#: 327863 / SEC#: , 8-71139
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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