John P. 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.
John Peter Kane was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2002 - July 29, 2003
SAXONY SECURITIES, INC.
May 5, 2000 - March 21, 2002
UBS FINANCIAL SERVICES INC.
February 23, 1995 - May 10, 2000
FIRST UNION BROKERAGE SERVICES, INC.
August 1, 1991 - January 27, 1995
IFMG SECURITIES, INC.
March 28, 1991 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
August 14, 1990 - December 4, 1990
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 19, 1989 - October 18, 1990
BLINDER, ROBINSON & CO., 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
Current Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
