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MK

Mary P. Kane

Some features on this profile are disabled
CRD#: 1828614
MK

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.

Mary Patricia Kane, who also goes by Mary Kane, Patti Kane, was a registered financial professional .

Mary is a previously registered financial professional and started their career in finance in 2003. Mary had worked at 4 firms and has passed the Series 3 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mary Kane | Patti Kane

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 7, 2009 - January 4, 2010

SPIKE FINANCIAL SERVICES, LLC

BD
CRD#: 112193
CHICAGO, IL
Past

September 5, 2006 - December 20, 2007

MCCLENDON, MORRISON & PARTNERS, INC.

BD
CRD#: 14684
CHICAGO, IL
Past

March 25, 2004 - December 19, 2007

MARKET WISE SECURITIES, LLC

BD
CRD#: 45269
CHICAGO, IL
Past

January 8, 2003 - December 19, 2007

TERRA NOVA FINANCIAL, LLC

BD
CRD#: 37761
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 3
Date: 6/16/2003
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/7/2003
Financial and Operations Principal Examination

Current Firm

SF
SPIKE FINANCIAL SERVICES, LLC
SPIKE FINANCIAL SERVICES, LLC | TITAN TRADING SERVICES, LLC

CRD#: 112193 / SEC#: , 8-53225

BD
Terminated by SEC on 02/20/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 11/08/2000
Firm type
Limited Liability Company
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PONTARELLI, ANTHONY TMEMBER4379261
DAGOSTINO, VINCE DMEMBER4379320
TITAN HOLDINGS, LLCMEMBER
WALSH, MICHAEL PATRICKMEMBER4379257
KHOLAMIAN, DRO YEREVANTEMEMBER
AMABILE, SAMMEMBER4379288
EVEY, THOMAS JAMESCEO, CCO, CFO, EXECUTIVE REP., SROP & CROP1157236
GRAZIANO, DAVID JOSEPHMEMBER4379277
MUELLER, THOMAS ANDREWMEMBER1164019

Disclosures

Regulatory Event2

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.

Company Information

SPIKE FINANCIAL SERVICES, LLC

CRD#: 112193

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