Charles 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.
Charles Joseph Kane was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1968. Charles had worked at 6 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2003 - December 31, 2014
NICOL INVESTORS CORPORATION
December 20, 2001 - November 5, 2002
INTERVEST INTERNATIONAL EQUITIES CORPORATION
November 5, 1997 - December 20, 2001
RICHARD B. VANCE & COMPANY
May 4, 1995 - November 11, 1997
CARDINAL INVESTMENTS, INC.
December 7, 1994 - May 10, 1995
WALNUT STREET SECURITIES, INC.
July 24, 1968 - August 22, 1994
TOWER SQUARE SECURITIES, 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 1
Date: 6/18/1968
Registered Representative ExaminationCurrent Firm
NICOL INVESTORS CORPORATION
CRD#: 123111 / SEC#: , 8-65566
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOL ENTERPRISES | OWNER | |
| NICOL, KEVIN GEORGE | PRESIDENT/ACTING SECRETARY/CHIEF COMPLIANCE OFFICER | 1109527 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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