Michael 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.
Michael James Kane, who also goes by Michael Kane, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2007. Michael had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2017 - November 5, 2018
SAMMONS FINANCIAL NETWORK, LLC
February 8, 2016 - December 4, 2017
CR CAPITAL DISTRIBUTORS, LLC
March 18, 2011 - February 2, 2016
QUASAR DISTRIBUTORS, LLC
March 15, 2011 - February 2, 2016
WBI INVESTMENTS, LLC
November 16, 2009 - December 1, 2010
DIRECTED SERVICES LLC
January 17, 2007 - December 1, 2010
DIRECTED 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
Current Firm
SAMMONS FINANCIAL NETWORK, LLC
CRD#: 158538 / SEC#: , 8-68905
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
