Gerard 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.
Gerard Kane, who also goes by Gerry Kane, was a registered financial professional .
Gerard is a previously registered financial professional and started their career in finance in 1986. Gerard had worked at 6 firms and has passed the Series 63, Series 55, Series 7 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
Experience
January 8, 2003 - January 13, 2003
REDWOOD BROKERAGE LLC
May 1, 2000 - January 31, 2001
ABN AMRO INCORPORATED
May 19, 1999 - January 14, 2000
JPMSI
April 7, 1998 - February 23, 1999
DEUTSCHE BANK SECURITIES INC.
October 24, 1990 - January 30, 1998
UBS FINANCIAL SERVICES INC.
April 30, 1990 - October 23, 1990
MORGAN STANLEY & CO. LLC
May 20, 1986 - May 30, 1990
UBS FINANCIAL SERVICES INC.
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 55
Date: 1/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
REDWOOD BROKERAGE LLC
CRD#: 39416 / SEC#: , 8-48697
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REDWOOD CAPITAL HOLDINGS LLC | MEMBER | |
| LENNON, PAUL THOMAS | PRESIDENT & CEO, CFO, CHIEF COMPLIANCE OFFICER, FINOP | 2046208 |
Disclosures
| Regulatory Event | 3 |
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.
