Karen D. 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.
Karen Deborah Kane, who also goes by Karen Kane Forlenza, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 2001. Karen had worked at 7 firms and has passed the Series 63, SIE, Series 87, 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
May 10, 2021 - September 12, 2023
BTIG, LLC
September 6, 2016 - January 2, 2020
ACADEMY SECURITIES, INC.
April 14, 2015 - August 12, 2021
JONESTRADING
August 1, 2014 - October 19, 2017
BTIG, LLC
April 19, 2012 - October 12, 2015
MLV & CO. LLC
April 1, 2011 - November 22, 2011
MORGAN JOSEPH TRIARTISAN LLC
December 1, 2009 - April 4, 2011
MADISON WILLIAMS AND COMPANY
October 23, 2001 - December 16, 2009
SANDERS MORRIS LLC
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
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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.
