Roger W. Keith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roger William Keith was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1981. Roger had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2003 - December 31, 2021
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
February 5, 2003 - December 31, 2021
LASALLE ST SECURITIES, L.L.C.
November 12, 2000 - February 4, 2003
COMMONWEALTH FINANCIAL NETWORK
January 2, 1998 - February 4, 2003
COMMONWEALTH FINANCIAL NETWORK
September 13, 1991 - January 6, 1998
THE ADVISORS GROUP, INC.
June 1, 1988 - August 30, 1991
A. G. EDWARDS & SONS, INC.
November 7, 1985 - June 8, 1988
LEHMAN BROTHERS INC.
July 20, 1984 - November 11, 1985
L. F. ROTHSCHILD & CO. INCORPORATED
December 28, 1981 - July 19, 1984
MOSELEY SECURITIES CORPORATION
Primary Firm SEC Registration
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
CRD#: 109701 / SEC#: 801-33422
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
CRD#: 109701 / SEC#: 801-33422
Contact information
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,941 |
| AUM (Assets Under Management) | $ 4,346,509,887 |
Red Flags
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