Kane H. Waller
Professional summary
Kane H Waller, who also goes by Kane Waller, is a registered financial professional currently at THE BENCHMARK COMPANY, LLC located in Boston, Massachusetts and STONEX FINANCIAL INC. located in Boston, Massachusetts.
Kane is registered as a RR (Registered Representative) and started their career in finance in 2002. Kane has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kane H Waller's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 2, 2023 - Present
THE BENCHMARK COMPANY, LLC
Office #1: 10 Post Office Square 9th Floor, North Tower, Boston, MA 02109March 11, 2026 - Present
STONEX FINANCIAL INC.
Office #1: 10 Post Office Square 9th Floor, North Tower, Boston, MA 02109October 4, 2017 - April 12, 2023
CANACCORD GENUITY LLC
March 25, 2003 - August 4, 2017
FIDELITY BROKERAGE SERVICES LLC
July 15, 2002 - August 4, 2017
NATIONAL 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
(8/9/2023)
(9/27/2023)
(8/4/2023)
(10/9/2025)
(9/17/2024)
(8/12/2023)
(3/26/2026)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/13/2003
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR/CEO SECURITIES | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 76 |
Red Flags
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Company Information
STONEX FINANCIAL INC.
CRD#: 45993Boston, MA 02109TRUST BUT VERIFY
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