Thomas 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.
Thomas James Kane III, who also goes by Thomas James Kane, Thomas J Kane, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 10 firms and has passed the Series 63, Series 66, Series 57TO, SIE, Series 79, 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
July 17, 2023 - May 8, 2024
MARCH CAPITAL CORP.
August 30, 2022 - March 13, 2023
NETSHARES FINANCIAL SERVICES LLC
December 21, 2021 - April 18, 2022
NORTHBOUND SECURITIES LLC
August 25, 2020 - March 11, 2022
ENTORO SECURITIES, LLC
September 14, 2018 - April 2, 2020
KLR GROUP ADVISORS, LP
October 22, 2013 - December 9, 2019
KLR GROUP, LLC
August 16, 2007 - July 11, 2013
ICM SECURITIES, LLC
April 29, 2002 - August 16, 2006
GH TRADERS LLC
May 10, 2000 - November 3, 2000
IDS LIFE INSURANCE COMPANY
May 10, 2000 - November 3, 2000
AMERIPRISE FINANCIAL SERVICES, 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/2/2014
Limited Representative-Equity Trader ExamCurrent Firm
MARCH CAPITAL CORP.
CRD#: 24142 / SEC#: , 8-41173
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICE, RICHARD JAY | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 725697 |
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 83,479,520 |
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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