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Patrick John Kane

PROFOR ADVISORS
RYE BROOK, NY
·CRD# 2065327·29 years experience

Professional Summary

Patrick John Kane, who also goes by Pat John Kane, is a registered financial advisor currently at PROFOR ADVISORS located in Rye Brook, New York. Patrick is registered as a RR (Registered Representative) and started their career in finance in 1997. Patrick has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Pat John Kane

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

29 years in the financial services industry

Current & Past Employments

PROFOR ADVISORS·CRD# 136084
BD
800 Westchester Ave Suite 641n, Rye Brook, NY 10573
June 2, 2025 - Present
FORESIDE FUND SERVICES, LLC·CRD# 46106
BD
Little Silver, NJ
December 16, 2016 - May 30, 2025
ALPS DISTRIBUTORS, INC.·CRD# 16853
BD
Denver, CO
March 5, 2012 - December 9, 2016
OPPENHEIMER & CO. INC.·CRD# 249
BD
New York, NY
May 22, 2003 - June 8, 2011
CIBC WORLD MARKETS CORP.·CRD# 630
BD
New York, NY
January 15, 2002 - June 13, 2003
GLOBAL EQUITY HOLDINGS, LLC·CRD# 111348
BD
Lebanon, NJ
August 9, 2001 - December 20, 2001
BRANDYWINE SECURITIES, INC.·CRD# 16581
BD
Thornton, PA
January 21, 1997 - August 24, 1999

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Current Firm

PA
PROFOR ADVISORS

AURELIUS SECURITIES, LLC | PROFOR SECURITIES, LLC | PROFOR ADVISORS

CRD#: 136084 / SEC#: 8-66974
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Contact Information

Main Address

800 Westchester Ave Suite 641n, Rye Brook, NY 10573

Mailing Address

800 Westchester Ave Suite 641n, Rye Brook, NY 10573

Phone Number

(646) 202-2969

Established

New York since 06/03/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (30 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
OMEARA, PATRICK JAMES JRMANAGING DIRECTOR, DESIGNATED PRINCIPAL, CHIEF COMPLIANCE OFFICER1544243
MAHALA, THOMAS GERARDREGISTERED PRINCIPAL1600103
OMEARA, PATRICK JAMES JRAML COMPLIANCE PRINCIPAL1544243
POLLOCK, MARTIN JAYFINOP1067521

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
New Jersey
(6/2/2025)
RR
New York
(6/2/2025)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2001About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Jun 2002About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jan 1997About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 2005About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Patrick John Kane's CRS (Customer Relationship Summary).

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