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Detailed Report
STEPHEN PATRICK KANE
STEPHEN KANE
CRD#: 5742366
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE STATE STREET
16TH FLOOR
HARTFORD, CT 06103
Registration History
20122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2013 - Present (11 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2012 - Present (12 years)
License(s)

State Registrations

B
Arizona 7/23/2013
B
Minnesota 2/5/2020
B
California 7/23/2013
B
New Hampshire 7/23/2013
B
Colorado 7/23/2013
B
New Jersey 7/23/2013
B
Connecticut 6/19/2013
B
New York 7/23/2013
IA
Connecticut 6/19/2013
B
North Carolina 7/23/2013
B
District of Columbia 7/23/2013
B
Ohio 11/15/2024
B
Florida 7/23/2013
B
Oklahoma 11/15/2024
B
Georgia 7/23/2013
B
Pennsylvania 7/23/2013
B
Hawaii 11/15/2024
B
Rhode Island 7/23/2013
B
Illinois 7/23/2013
B
South Carolina 7/23/2013
B
Indiana 10/31/2018
B
Tennessee 10/31/2018
B
Kentucky 11/15/2024
B
Texas 7/23/2013
B
Maine 7/23/2013
B
Vermont 7/23/2013
B
Maryland 7/23/2013
B
Virgin Islands 11/15/2024
B
Massachusetts 7/23/2013
B
Virginia 7/23/2013
B
Michigan 7/23/2013
B
Washington 7/23/2013

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE STATE STREET 16TH FLOOR, HARTFORD, CT 06103
Fiskdale, MA
Registered with this firm since 6/19/2013
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE STATE STREET 16TH FLOOR, HARTFORD, CT 06103
Fiskdale, MA
Registered with this firm since 12/21/2012
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.