Courtenay H. 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.
Courtenay Hall Kane, who also goes by Courtenay Kane, was a registered financial professional .
Courtenay is a previously registered financial professional and started their career in finance in 2002. Courtenay had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2021 - May 26, 2023
BLOOMBERG TRADEBOOK LLC
February 19, 2016 - September 13, 2021
EZE CASTLE TRANSACTION SERVICES LLC
August 6, 2013 - May 11, 2015
OLIVETREE FINANCIAL, LLC
July 29, 2011 - July 5, 2012
KEEFE, BRUYETTE & WOODS, INC.
July 16, 2004 - June 3, 2009
NOMURA SECURITIES INTERNATIONAL, INC.
March 17, 2003 - July 15, 2004
RBC CAPITAL MARKETS, LLC
September 3, 2002 - January 9, 2003
E*TRADE SECURITIES LLC
August 22, 2002 - September 3, 2002
E*TRADE CLEARING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 6/23/2006
Limited Representative-Equity Trader ExamCurrent Firm
BLOOMBERG TRADEBOOK LLC
CRD#: 40881 / SEC#: , 8-49219
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 9 |
Red Flags
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