Kelly D. Kane

BROADWING CAPITAL ADVISORS

Larkspur, CA 94939

CRD#: 1428717

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Professional summary

Kelly Douglas Kane, CFP® is a registered financial advisor currently at BROADWING CAPITAL ADVISORS, INC. located in Larkspur, California.

Kelly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Kelly has worked at 4 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Insurance Planning

Investment Planning

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Douglas Kane's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1996

Experience

Current

October 31, 2003 - Present

BROADWING CAPITAL ADVISORS, INC.

Office #1: 101 Larkspur Landing Circle Suite 221, Larkspur, CA 94939

RIA

CRD#: 127513

Larkspur, CA

Past

December 22, 1999 - September 15, 2014

FOOTHILL SECURITIES, INC.

RIA

CRD#: 1027

MILL VALLEY, CA

Past

June 3, 1999 - September 15, 2014

FOOTHILL SECURITIES, INC.

CRD#: 1027

MILL VALLEY, CA

Past

December 17, 1985 - June 7, 1999

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

December 17, 1985 - June 7, 1999

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BROADWING CAPITAL ADVISORS, INC.

BROADWING CAPITAL ADVISORS | KELLY DOUGLAS KANE | KANE, KELLY DOUGLAS | BROADWING CAPITAL ADVISORS, INC. | BROADWING CAPITAL ADVISORS, INC

CRD#: 127513 / SEC#: 801-129735

RIA

Registered Investment Advisory firm - (3/22/2024 Approved)

California

Registered Investment Advisory firm - (5/4/2024 Terminated)

Texas

Registered Investment Advisory firm - (4/4/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/31/2003)

IAR

Texas
(5/3/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/7/2003

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/19/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 12/14/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/6/1999

General Securities Principal Examination

Current Firm

BROADWING CAPITAL ADVISORS, INC.

BROADWING CAPITAL ADVISORS | KELLY DOUGLAS KANE | KANE, KELLY DOUGLAS | BROADWING CAPITAL ADVISORS, INC. | BROADWING CAPITAL ADVISORS, INC

CRD#: 127513 / SEC#: 801-129735

RIA

Registered Investment Advisory firm - (3/22/2024 Approved)

California

Registered Investment Advisory firm - (5/4/2024 Terminated)

Texas

Registered Investment Advisory firm - (4/4/2024 Terminated)

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Contact information

Main Address

101 Larkspur Landing Circle Suite 221, Larkspur, CA 94939

Mailing Address

Phone number

(415) 381-7555

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A AND 2B (2/3/2026)

Regulatory assets under management

Total Number of Accounts	66
AUM (Assets Under Management)	$ 148,008,273

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Kelly D. Kane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Douglas Kane's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOOTHILL SECURITIES, INC.

FOOTHILL SECURITIES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

BROADWING CAPITAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/7/2003

Series 65

Date: 6/19/1996

Series 7

Date: 12/14/1985

Series 24

Date: 7/6/1999

Current Firm

BROADWING CAPITAL ADVISORS, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROADWING CAPITAL ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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