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ROBERT P KANE
CRD#: 6528214
IA
B
FIFTH THIRD SECURITIES, INC.CRD#: 628 5929 TIMBER RIDGE DR
PROSPECT, KY 40059
PROSPECT, KY 40059
View By:
10/6/2023
Customer Dispute
Denied
State Registrations
B
Arizona 11/24/2020
B
Minnesota 11/20/2020
B
Delaware 12/16/2024
B
New Jersey 11/20/2020
B
Florida 8/14/2018
B
New York 9/27/2018
B
Georgia 10/15/2018
B
North Carolina 2/12/2021
B
Illinois 3/9/2020
B
Ohio 3/30/2020
B
Indiana 8/13/2018
B
South Carolina 4/2/2020
B
Kentucky 10/14/2015
B
Tennessee 3/31/2020
IA
Kentucky 1/3/2017
B
Texas 11/20/2020
B
Maryland 1/4/2024
B
Virginia 11/20/2020
B
Michigan 8/4/2021
SRO Registrations
B
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IA
Registered with this firm since 1/3/2017
B
Registered with this firm since 7/14/2015
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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.
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.