Owen V. 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.
Owen Vincent Kane was a registered financial professional .
Owen is a previously registered financial professional and started their career in finance in 1967. Owen had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2012 - July 26, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 3, 2012 - July 26, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 16, 2011 - August 9, 2011
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 9, 2011 - August 9, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 29, 2000 - January 4, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 4, 1990 - January 4, 2011
WELLS FARGO CLEARING SERVICES, LLC
October 31, 1988 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
August 27, 1984 - May 2, 1988
TUCKER ANTHONY INCORPORATED
August 10, 1978 - September 28, 1984
BECKER PARIBAS INCORPORATED
January 15, 1975 - September 12, 1978
WHITE, WELD & CO. INCORPORATED
January 23, 1974 - January 15, 1975
WHITE, WELD & CO., INCORPORATED
February 27, 1967 - February 17, 1974
DAIN, KALMAN & QUAIL, INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 2/21/1967
Registered Representative ExaminationSeries 40
Date: 12/28/1978
Registered Principal ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
