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Michael Maurice Kane

LPl Financial LLC

Alpharetta, GA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-02-04
GA RA APPROVED 2010-11-30
  • TX RA
    APPROVED_RES
    Since 2013-02-04
  • GA RA
    APPROVED
    Since 2010-11-30

Branch Locations

2300 Lakeview Pky, Suite 700, Alpharetta, GA 30009 • 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
Lpl Financial Llc Alpharetta GA 11/2010 Present
Hub International Investment Services, Inc. Concord CA 11/2021 Present
  • 11/2010 → Present
    Alpharetta, GA
  • 11/2021 → Present
    Hub International Investment Services, Inc.
    Concord, CA
Previous Registrations
  • 2008-07-11 → 2010-11-30
    Nrp Advisors, Inc.
    Apharetta, GA
  • 2003-02-20 → 2008-07-07
    New England Securities
    Atlanta, GA
    Alpharetta, GA
Other Businesses

1. 1/11/2011: Michael M. Kane and Associates - At Reported Business Location(s) - Non-Variable Insurance DBA - Time Spent 1% - Very limited Health Insurance sales. Mostly restricted to receiving renewal commissions on Medical, Disability, Long Term Care. Also receiving renewals on Life Insurance sales while at New England Finanical. 2. 5/10/2011: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 1% - Sale of Health insurance. 3. 5/26/2016: No Business Name - Investment Related - Hilton Head Island, SC - Real Estate Rental - Started 04/01/1989 - 1 Hours Per Month/0 Hours During Securities Trading. 4. 5/26/2016: MIchael M. Kane - Investment Related - Hilton Head Island, SC - Real Estate Rental - Started 04/01/89 - 1 Hours Per Month/0 Hours During Securities Trading. 5. 3/7/2019 - Retirement Advisor Council - Investment Related - Locations vary. - Non-Profit Board Member - Started 03/06/2019 - 1 Hours Per Month During Securities Trading - Industry council. 6. 4/8/2021 - Plan Sponsor Consultants, a Division of Hub International - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/02/2021 - 300 Hours Per Month/200 Hours During Securities Trading. 7. 4/22/2021 - Plan Sponsor Consultants, a Division of Hub International - Investment Related - At Reported Business Location(s) - Outside/W-2 Employment - Started 04/02/2021 - 300 Hours Per Month/200 Hours During Securities Trading - As part of succession plan, sold Plan Sponsor Consultants to Hub International, hence Plan Sponsor Consultants, a Division of Hub International. Paid a salary by Hub International.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-05-18
  • S63 Uniform Securities Agent State Law Examination
    1983-05-18

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