Michael F. Keenan
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.
Michael Francis Keenan, who also goes by Mike Keenan, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 1998 - December 31, 1999
INTERFIRST CAPITAL CORPORATION
June 11, 1996 - June 12, 1998
PACIFIC GENESIS GROUP, INC.
February 28, 1991 - September 29, 1995
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
May 9, 1990 - February 5, 1991
MORGAN STANLEY DW INC.
July 2, 1987 - April 18, 1990
A. G. EDWARDS & SONS, INC.
March 14, 1985 - July 11, 1987
UBS FINANCIAL SERVICES INC.
December 8, 1981 - March 4, 1985
MUNICICORP OF CALIFORNIA
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
INTERFIRST CAPITAL CORPORATION
CRD#: 7659 / SEC#: , 8-22805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MHK INVESTMENT CORPORATION | HOLDING COMPANY | |
| PHILLIPS, BRADFORD ASHLEY | CHAIRMAN, PRESIDENT AND CEO | 1730426 |
| ROGERS, KENNETH WALTER | EXECUTIVE VICE PRESIDENT SALES, DIRECTOR | 500255 |
| ROGERS, PAULA ANDREA | FINANCIAL AND OPERATIONS PRINCIPAL | 2167864 |
| TENNEY, LOUIS RUSSELL | SROP | 1032315 |
| TENNEY, LOUIS RUSSELL | MUNICIPAL BOND PRINCIPAL | 1032315 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
