Charles F. Kane
Professional summary
Charles Fairweather Kane JR., who also goes by Cap Kane, Charles F Kane Jr, Charles Fairweather Kane Jr, Charles Fairweather Kane, Charles Jr. Fairweather Kane, is a registered financial advisor currently at PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC. located in Boston, Massachusetts.
Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. Charles has worked at 8 firms and has passed the Series 66, Series 63, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Charles Fairweather Kane JR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
April 9, 2012 - Present
PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC.
Office #1: 155 Federal Street Suite 1602, Boston, MA 02210February 23, 2011 - December 5, 2012
CHARLES F. KANE JR. INVESTMENT COUNSEL, INC.
August 15, 2007 - October 5, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 4, 2004 - October 5, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 9, 2002 - October 20, 2004
RBC CAPITAL MARKETS, LLC
July 18, 1986 - March 9, 2002
TUCKER ANTHONY INCORPORATED
February 20, 1979 - August 5, 1986
KIDDER, PEABODY & CO. INCORPORATED
February 24, 1978 - April 12, 1979
MORGAN STANLEY DW INC.
March 1, 1976 - February 24, 1978
REYNOLDS SECURITIES, INC.
Primary Firm SEC Registration
PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC.
CRD#: 105060 / SEC#: 801-31820
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/9/2012)
Exams
PC
Date: 2/6/1979
AMEX Put and Call ExamCurrent Firm
PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC.
CRD#: 105060 / SEC#: 801-31820
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 796 |
| AUM (Assets Under Management) | $ 1,390,600,540 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 10/24/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
PENOBSCOT INVESTMENT MANAGEMENT COMPANY, INC.
CRD#: 105060Boston, MA 02210TRUST BUT VERIFY
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