James P. 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.
James Patrick Kane, who also goes by Jim Patrick Kane, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2012 - October 8, 2019
SAMMONS FINANCIAL NETWORK, LLC
February 5, 2008 - December 12, 2011
PRINCIPAL SECURITIES, INC.
August 12, 2006 - April 24, 2007
BANCWEST INVESTMENT SERVICES, INC.
November 11, 2005 - August 12, 2006
INVEST FINANCIAL CORPORATION
January 6, 2003 - April 21, 2005
AMERICAN EQUITY CAPITAL, INC.
March 9, 1998 - December 13, 2001
AMERITAS INVESTMENT COMPANY, LLC
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
SAMMONS FINANCIAL NETWORK, LLC
CRD#: 158538 / SEC#: , 8-68905
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
