Richard A. Kane
Professional summary
Richard A Kane JR, CFP®, who also goes by Richard A Kane, Richard Alan Kane Jr, Richard Alan Kane, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Indianapolis, Indiana and CHARLES SCHWAB & CO., INC. located in Indianapolis, Indiana.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Richard has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard A Kane JR's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2014
Experience
January 3, 2012 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482December 7, 1999 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482March 5, 2003 - December 31, 2011
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/14/2003)
(8/9/2019)
(10/28/2015)
(2/15/2000)
(4/29/2011)
(2/16/2000)
(2/15/2000)
(1/29/2020)
(12/20/1999)
(1/3/2012)
(2/7/2024)
(2/7/2024)
(6/20/2019)
(3/1/2013)
(2/7/2024)
(1/5/2010)
(9/13/2007)
(10/24/2012)
(2/2/2024)
(2/10/2020)
(4/15/2008)
(4/29/2011)
(1/9/2004)
(1/2/2020)
(8/4/2011)
(2/7/2024)
Exams
FINRA
Nasdaq Stock Market
Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
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