Thomas J. 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 Joseph Kane III, who also goes by T J Kane, Tom Kane, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 15 firms and has passed the Series 63, SIE, 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
July 13, 2015 - January 25, 2016
BURNHAM SECURITIES INC.
August 11, 2008 - May 31, 2013
ROSENBLATT SECURITIES INC.
October 1, 2007 - July 23, 2008
VELOCITY CLEARING, LLC
November 15, 2006 - October 1, 2007
NYFIX TRANSACTION SERVICES, INC.
November 15, 2002 - May 17, 2005
HARBORSIDE SECURITIES, LLC
January 23, 2001 - October 16, 2002
KNIGHT CAPITAL AMERICAS, L.P.
June 1, 1995 - January 29, 1997
NATIONAL FINANCIAL SERVICES LLC
January 1, 1994 - May 24, 1995
COWEN EXECUTION SERVICES LLC
March 2, 1992 - January 1, 1994
EXECUTION SERVICES INCORPORATED
January 22, 1990 - March 13, 1992
FBN SECURITIES, INC.
December 13, 1988 - January 18, 1990
A.J. MICHAELS & CO., LTD.
June 28, 1988 - January 2, 1989
MARKETFIELD SECURITIES LIMITED
April 3, 1988 - June 10, 1988
OPPENHEIMER & CO. INC.
April 1, 1988 - April 12, 1988
FAHNESTOCK INTERNATIONAL INC.
January 27, 1987 - April 1, 1988
OPPENHEIMER & CO. INC.
September 24, 1986 - February 3, 1987
ROONEY, PACE 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: 4/2/2001
Limited Representative-Equity Trader ExamCurrent Firm
BURNHAM SECURITIES INC.
CRD#: 22549 / SEC#: 801-65646, 8-39788
Contact information
Disclosures
| Regulatory Event | 6 |
Red Flags
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