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Heather Lynn Kane

Ubs Financial Services Inc.

Springfield, MA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-04-02
  • TX RA
    APPROVED_RES
    Since 2025-04-02

Branch Locations

One Monarch Place Suite 720, Springfield, MA 01144 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Gwfs Equities, Inc Springfield MA 09/2013 08/2022
Pensionmark Securities, Llc Santa Barbara CA 07/2022 10/2023
Hooker & Holcombe Investment Advisors, Inc. Bloomfield CT 07/2022 03/2025
Usi Consulting Group Glastonbury CT 10/2023 03/2025
Usi Advisors Glastonbury CT 10/2023 03/2025
Usi Securities Glastonbury CT 10/2023 03/2025
Ubs Financial Services, Inc. Springfield MA 04/2025 Present
  • 09/2013 → 08/2022
    Gwfs Equities, Inc
    Springfield, MA
  • 07/2022 → 10/2023
    Pensionmark Securities, Llc
    Santa Barbara, CA
  • 07/2022 → 03/2025
    Hooker & Holcombe Investment Advisors, Inc.
    Bloomfield, CT
  • 10/2023 → 03/2025
    Usi Consulting Group
    Glastonbury, CT
  • 10/2023 → 03/2025
    Usi Advisors
    Glastonbury, CT
  • 10/2023 → 03/2025
    Usi Securities
    Glastonbury, CT
  • 04/2025 → Present
    Ubs Financial Services, Inc.
    Springfield, MA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-07-29
S63 Uniform Securities Agent State Law Examination 2013-12-04
  • S65 Uniform Investment Adviser Law Examination
    2016-07-29
  • S63 Uniform Securities Agent State Law Examination
    2013-12-04
Other Names
  • Heather L Kane
  • Heather Lynn Kane
  • Heather Kane

View on SEC IAPD

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Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · SPRINGFIELD, MA
MORGAN STANLEY · Springfield, MA
LPL FINANCIAL LLC · SPRINGFIELD, MA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SPRINGFIELD, MA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SPRINGFIELD, MA
HEAPHY INVESTMENTS, LLC · SPRINGFIELD, MA
HEAPHY INVESTMENTS, LLC · Springfield, MA
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