Claudia Kane, financial advisor Roseville CA
86 score

Claudia Kane

CRD Number: 1387964
Current Firm: Raymond James Financial Services Advisors, Inc.

Claudia Kane (CRD# 1387964) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Roseville, CA and has over 31 years of experience in the finance industry. Claudia Kane has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Beacon Wealth Strategies Roseville, CA Apr 2014 - Current 2
Women's Clothing Direct Sales Folsom, CA Apr 2013 - Current 3
Cabi El Dorado Hills, CA Mar 2013 - Current 3
Raymond James Financial Services, Inc. Roseville, CA Sep 2011 - Current 5
Raymond James Financial Services Advisors Inc. Roseville, CA Mar 2010 - Current 6
Wells Fargo Advisors LLC Cameron Park, CA Dec 2008 - Sep 2011 2
Wachovia Securities, LLC Sacramento/cameron Park, CA Jun 2008 - Dec 2008 < 1
Wells Fargo Investments, LLC Roseville/placerville, CA Dec 1997 - Jun 2008 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1985
S65 NASAA Investment Advisors Law Examination Feb 1994
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Claudia C. Kane
Phone Number: 727-567-5877
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    64,210
    MILLIONS
  • Total Number of Accounts
    224,839
    ACCOUNTS
  • Average Account Value
    $285,581
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
86

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