Edward 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.
Edward John Kane was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1998. Edward had worked at 8 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2012 - December 31, 2012
NORTHEAST SECURITIES, LLC
June 1, 2011 - January 23, 2013
GCFA SECURITIES, LLC
May 3, 2010 - May 19, 2011
AURIA SERVICES CORP.
September 17, 2008 - December 3, 2008
AURIA SERVICES CORP.
July 7, 2004 - September 20, 2006
SCHOTTENFELD GROUP LLC
September 24, 2003 - June 30, 2004
PUGLISI & CO.
October 17, 2000 - May 11, 2001
CNR SECURITIES, LLC
October 1, 1998 - July 28, 1999
BANC OF AMERICA SECURITIES LLC
April 7, 1998 - October 1, 1998
BANCAMERICA 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 55
Date: 11/28/2005
Limited Representative-Equity Trader ExamCurrent Firm
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| 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.
