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DAVID LAWRENCE KANEN
CRD#: 1807794
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Investment Adviser
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Previous Broker
KANEN WEALTH MANAGEMENT LLCCRD#: 282746 5850 Coral Ridge Drive
Suite 309
Coral Springs, FL 33076
Registration History
199019952000200520102015202020252 FIRMS2011 - 2012 (1 year)2 FIRMS2012 - 2016 (3 years)IAKANEN WEALTH MANAGEMENT LLC (CRD# 282746)2016 - Present (9 years)BFIRST MIDWEST SECURITIES, INC. (CRD# 21786)2009 - 2011 (2 years)BPOINTE CAPITAL, INC. (CRD# 112097)2005 - 2009 (3 years)BSTERLING FINANCIAL INVESTMENT ... (CRD# 41506)2004 - 2005 (1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)1992 - 2004 (12 years)BDAVID LERNER ASSOCIATES, INC. (CRD# 5397)1988 - 1992 (3 years)BFIRST INVESTORS CORPORATION (CRD# 305)1988 - 1988 (<1 year)IAFMSI ADVISERS (CRD# 21786)2010 - 2011 (1 year)
Disclosure(s)
View By:
9/25/2024
Regulatory
Final
5/19/2009
Customer Dispute
Denied
6/23/2003
Customer Dispute
Denied
10/26/1998
Customer Dispute
Closed-No Action
License(s)

State Registrations

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California 10/2/2018

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Texas 3/23/2016

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Florida 5/2/2016

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Virginia 4/28/2017

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New York 6/11/2021

Current Registration(s)
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KANEN WEALTH MANAGEMENT LLC (CRD#:282746)
5850 Coral Ridge Drive Suite 309, Coral Springs, FL 33076
Registered with this firm since 3/23/2016

Previous Registration(s)
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12/04/2012 - 08/18/2016 AEGIS CAPITAL CORP. (CRD#:15007) BOCA RATON, FL
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12/05/2012 - 08/18/2016 AEGIS CAPITAL CORP. (CRD#:15007) BOCA RATON, FL
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03/16/2011 - 11/30/2012 WFG ADVISORS, LP (CRD#:125073) SMITHTOWN, NY
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03/16/2011 - 11/30/2012 WFG INVESTMENTS, INC. (CRD#:22704) HAUPPAUGE, NY
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02/03/2010 - 03/21/2011 FMSI ADVISERS (CRD#:21786) SMITHTOWN, NY
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01/02/2009 - 03/21/2011 FIRST MIDWEST SECURITIES, INC. (CRD#:21786) SMITHTOWN, NY
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09/23/2005 - 01/05/2009 POINTE CAPITAL, INC. (CRD#:112097) SMITHTOWN, NY
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04/30/2004 - 09/23/2005 STERLING FINANCIAL INVESTMENT GROUP, INC. (CRD#:41506)
FINRA expelled the firm on 01/23/2008
BOCA RATON, FL
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04/06/1992 - 05/20/2004 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
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10/13/1988 - 04/15/1992 DAVID LERNER ASSOCIATES, INC. (CRD#:5397) SYOSSET, NY
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03/03/1988 - 10/20/1988 FIRST INVESTORS CORPORATION (CRD#:305)
For additional information about investment advisers or broker-dealers, please visit
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.