Kane Thompson
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.
Kane Thompson, who also goes by Kane Thompson, Matthew Kane Thompson, was a registered financial professional .
Kane is a previously registered financial professional and started their career in finance in 2003. Kane had worked at 4 firms and has passed the Series 65, Series 66, SIE, Series 31 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
November 22, 2022 - October 28, 2025
FARTHER
August 23, 2022 - December 20, 2022
LPL FINANCIAL LLC
August 19, 2022 - December 20, 2022
LPL FINANCIAL LLC
March 29, 2012 - August 31, 2022
UBS FINANCIAL SERVICES INC.
April 1, 2005 - August 31, 2022
UBS FINANCIAL SERVICES INC.
May 5, 2003 - April 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 14, 2003 - April 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
FARTHER
CRD#: 302050 / SEC#: 801-116721
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
FARTHER
CRD#: 302050 / SEC#: 801-116721
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24,245 |
| AUM (Assets Under Management) | $ 7,523,810,877 |
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.
