Kelly Kane has been President/Chief Compliance Officer of Broadwing Capital Advisors since March 2009, is a control person of the firm and directly owns 75% or more of it. Kelly Kane holds a Bachelor's degree in Economics from the University of California at Davis.
Broadwing Capital Advisors, Inc. is a Larkspur, CA firm with $148M under management, 63 clients and 2 advisers in one office, as of its February 2026 filing.
Kelly D. Kane is Founder of Broadwing Capital Advisors, Inc., where he is the firm's principal, with over 30 years of experience. Kane worked in the Marketing department of the San Francisco Giants for two years, serving as liaison between the Giants' corporate front office and its corporate sponsors. In 1985 he decided to pursue a more entrepreneurial path, which eventually led to a career in personal financial planning and money management.
Kelly Kane’s longest registration is the current one, 22 years at Broadwing Capital Advisors since 2003. Before joining Broadwing Capital Advisors in 2003, Kelly Kane was registered through Foothill Securities, Inc.
- – present · 22 yearsLarkspur, CA · Adviser representative · Firm CRD 127513
- Foothill Securities, Inc.– · 14 yearsMill Valley, CA · Adviser representative · Firm CRD 1027
Professional designations
Listed by Broadwing Capital Advisors
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Chartered Financial Consultant (ChFC®)
Investment adviser representative registrations
Kelly Kane is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from October 2003; the most recent is Texas, in May 2016.
- CaliforniaSince 31 October 2003
- TexasResidentSince 3 May 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 7 April 2003 |
| Series 24 | General Securities Principal Examination | 6 July 1999 |
| Series 65 | Uniform Investment Adviser Law Examination | 19 June 1996 |
| Series 7 | General Securities Representative Examination | 14 December 1985 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Full name
- Kelly Douglas Kane
- CRD
- 1428717
- Firm
- Broadwing Capital Advisors · CRD 127513
- Role
- President/Chief Compliance Officer
- Office
- 101 LARKSPUR LANDING CIRCLE, SUITE 221, Larkspur, CA 94939
- Registration
- Investment adviser registration
- In the industry since
- December 1999
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- broadwingcapital.com
Where does Kelly Kane work?
Kelly Kane has been President/Chief Compliance Officer of Broadwing Capital Advisors, Inc. since March 2009, and is a control person of the firm.
Is Kelly Kane a financial advisor?
Yes. Kelly Kane has a current investment-adviser registration in California and Texas, through Broadwing Capital Advisors since October 2003.
How many years of experience does Kelly Kane have?
Kelly Kane has 26 years in the financial industry, since December 1999, across 2 adviser firms.
What exams has Kelly Kane passed?
Kelly Kane has passed 4 licensing exams: the Series 7, Series 65, Series 24 and Series 63. The earliest, the Series 7, was passed in December 1985.
Where is Kelly Kane based?
Kelly Kane’s registered office is in Larkspur, CA.
Is Kelly Kane registered with FINRA?
No. Kelly Kane has no current broker registration.
Is Kelly Kane a CFP?
Broadwing Capital Advisors lists Kelly Kane with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: Kelly D. Kane, CFP®, ChFC® biography, broadwingcapital.com
How can I verify Kelly Kane’s record?
Search CRD 1428717 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kelly Kane’s full registration record.