Keith D. Maderer

SENIOR FINANCIAL AND REALTY ASSOC.

Orchard Park, NY

Some features on this profile are disabled

CRD#: 1036078

Professional summary

Keith Daniel Maderer is a registered financial advisor currently at SENIOR FINANCIAL AND REALTY ASSOC. located in Orchard Park, New York.

Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Keith has worked at 8 firms and has passed the Series 63, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Daniel Maderer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 30, 2021 - Present

SENIOR FINANCIAL AND REALTY ASSOC.

RIA

CRD#: 126404

Orchard Park, NY

Past

June 11, 1993 - August 26, 1994

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

Past

January 3, 1990 - May 23, 1991

SUNAMERICA SECURITIES, INC.

CRD#: 20068

Past

November 19, 1989 - January 12, 1990

OSAIC WEALTH, INC.

CRD#: 23131

Past

May 30, 1989 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

March 30, 1982 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

March 30, 1982 - June 3, 1989

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Past

March 30, 1982 - June 3, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SENIOR FINANCIAL AND REALTY ASSOC.

MADERER, KEITH DANIEL | SENIOR FINANCIAL AND TAX ASSOC. | SENIOR FINANCIAL AND REALTY ASSOC.

CRD#: 126404 / SEC#: 801-120896

RIA

Registered Investment Advisory firm - (4/26/2021 Approved)

New York

Registered Investment Advisory firm - (11/18/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(11/30/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/3/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/15/1988

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/6/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 3/19/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/22/1990

General Securities Principal Examination

Current Firm

SENIOR FINANCIAL AND REALTY ASSOC.

MADERER, KEITH DANIEL | SENIOR FINANCIAL AND TAX ASSOC. | SENIOR FINANCIAL AND REALTY ASSOC.

CRD#: 126404 / SEC#: 801-120896

RIA

Registered Investment Advisory firm - (4/26/2021 Approved)

New York

Registered Investment Advisory firm - (11/18/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Orchard Park, NY

Mailing Address

Phone number

(716) 662-4470

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2024 SFTA - NARRATIVE FORM ADV PART 2 (2/27/2025)

Regulatory assets under management

Total Number of Accounts	87
AUM (Assets Under Management)	$ 34,731,722

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Keith D. Maderer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Daniel Maderer's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUEST CAPITAL STRATEGIES, INC.

SUNAMERICA SECURITIES, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

AMERICAN EXPRESS FINANCIAL CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SENIOR FINANCIAL AND REALTY ASSOC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/3/1988

Series 7

Date: 10/15/1988

Series 22

Date: 12/6/1983

Series 6

Date: 3/19/1982

Series 24

Date: 3/22/1990

Current Firm

SENIOR FINANCIAL AND REALTY ASSOC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SENIOR FINANCIAL AND REALTY ASSOC.

TRUST BUT VERIFY

Similar Advisors