Joseph H. O'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.
Joseph Hugh O'kane, who also goes by Joseph Hugh Okane, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1992. Joseph had worked at 8 firms and has passed the Series 66, 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
May 9, 2012 - June 3, 2013
INVESTORS CAPITAL CORP.
May 9, 2012 - June 3, 2013
INVESTORS CAPITAL CORP.
May 13, 2011 - February 6, 2012
WELLS FARGO CLEARING SERVICES, LLC
May 9, 2011 - February 6, 2012
WELLS FARGO CLEARING SERVICES, LLC
November 25, 2008 - October 28, 2009
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
November 5, 2008 - November 17, 2009
LPL FINANCIAL LLC
August 12, 2008 - October 28, 2009
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
August 7, 2008 - November 17, 2009
LPL FINANCIAL LLC
December 15, 2000 - January 29, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - January 29, 2002
WELLS FARGO INVESTMENTS, LLC
November 1, 1996 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 27, 1992 - November 13, 1996
JM DISSOLUTION, 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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
