Clinton P. Kane

KANE FINANCIAL

Waterville, NY 13480

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CRD#: 5352683

Professional summary

Clinton Peter Kane, who also goes by Clinton P Kane, is a registered financial advisor currently at KANE FINANCIAL located in Waterville, New York.

Clinton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Clinton has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Clinton P Kane

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clinton Peter Kane's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 7, 2019 - Present

KANE FINANCIAL

Office #1: 151 West Main Street, Waterville, NY 13480

RIA

CRD#: 291231

Waterville, NY

Past

April 19, 2012 - November 9, 2017

CADARET, GRANT & CO., INC.

CRD#: 10641

UTICA, NY

Past

May 19, 2009 - February 29, 2012

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

NEW HARTFORD, NY

Past

August 22, 2007 - May 26, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

SYRACUSE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KANE FINANCIAL

KANE FINANCIAL | KANE FINANCIAL, LLC

CRD#: 291231 / SEC#: 801-122385

RIA

Registered Investment Advisory firm - (9/24/2021 Approved)

New York

Registered Investment Advisory firm - (9/29/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/29/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(5/21/2021)

IAR

Texas
(2/7/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/29/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/9/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/2007

General Securities Representative Examination

Current Firm

KANE FINANCIAL

KANE FINANCIAL | KANE FINANCIAL, LLC

CRD#: 291231 / SEC#: 801-122385

RIA

Registered Investment Advisory firm - (9/24/2021 Approved)

New York

Registered Investment Advisory firm - (9/29/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/29/2021 Terminated)

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Contact information

Main Address

151 West Main Street, Waterville, NY 13480

Mailing Address

Phone number

(315) 801-9028

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A: FIRM BROCHURE (6/26/2025)

Regulatory assets under management

Total Number of Accounts	560
AUM (Assets Under Management)	$ 56,644,536

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.

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Clinton P. Kane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clinton Peter Kane's CRS (Customer Relationship Summary).

Certified licenses

Experience

KANE FINANCIAL

CADARET, GRANT & CO., INC.

COMMONWEALTH FINANCIAL NETWORK

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

KANE FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 8/29/2007

SIE

Date: 11/9/2017

Series 7

Date: 8/21/2007

Current Firm

KANE FINANCIAL

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KANE FINANCIAL

TRUST BUT VERIFY

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