William A. 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.
William Alan Kane, who also goes by Bill Kane, William A Kane, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 9 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 7, Series 27, Series 28, Series 24, Series 53, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2011 - July 25, 2013
VIRTU AMERICAS LLC
April 12, 2002 - May 24, 2004
BOND EXPRESS, INC.
May 22, 2000 - January 21, 2011
KNIGHT BONDPOINT, INC.
July 19, 1993 - May 31, 2001
FIDELITY NATIONAL CAPITAL INVESTORS, INC.
July 10, 1990 - July 19, 1993
UBS FINANCIAL SERVICES INC.
October 31, 1989 - July 10, 1990
CITIGROUP GLOBAL MARKETS INC.
January 20, 1987 - August 2, 1988
NATIONSBANC SECURITIES OF GEORGIA, INC.
March 10, 1986 - July 16, 1986
PRUDENTIAL EQUITY GROUP, LLC
March 23, 1981 - March 12, 1986
LEHMAN BROTHERS INC.
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 15
Date: 5/8/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 28
Date: 8/13/1993
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 12
Date: 11/21/1981
NYSE Branch Manager ExaminationCurrent Firm
VIRTU AMERICAS LLC
CRD#: 149823 / SEC#: , 8-68193
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 74 |
| Civil Event | 1 |
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.
