Kane Thompson
Professional summary
Kane Thompson, who also goes by Kane Thompson, Matthew Kane Thompson, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Waltham, Massachusetts.
Kane is registered as a RR (Registered Representative) and started their career in finance in 2003. Kane has worked at 5 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kane Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 28, 2026 - Present
NYLIFE SECURITIES LLC
Office #1: 201 Jones Road Suite 620, Waltham, MA 02451November 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
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 7TO
Date: 1/28/2026
General Securities Representative ExaminationFINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| VIRENDRA, SONALI NMN | ELECTED MANAGER | 2404467 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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Company Information
NYLIFE SECURITIES LLC
CRD#: 5167Waltham, MA 02451TRUST BUT VERIFY
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