Christopher M. Keeler

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CRD#: 1040977

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.

Christopher Matthew Keeler SR, who also goes by Chris Matthew Keeler, Christopher Matthew Keeler, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1982. Christopher had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Matthew Keeler | Christopher Matthew Keeler

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 21, 2015 - December 22, 2017

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

LONDON,

Past

January 24, 2008 - June 3, 2015

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

STAMFORD, CT

Past

January 14, 2008 - June 3, 2015

OPPENHEIMER & CO. INC.

CRD#: 249

STAMFORD, CT

Past

January 28, 2002 - January 24, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

GREENWICH, CT

Past

January 22, 2001 - January 24, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

GREENWICH, CT

Past

May 27, 1997 - January 26, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 30, 1993 - May 29, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 16, 1987 - August 3, 1993

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

June 25, 1984 - September 23, 1987

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

April 19, 1983 - July 12, 1984

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

June 10, 1982 - April 18, 1983

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Past

April 29, 1982 - May 14, 1982

UNIFIED SECURITIES CORPORATION

CRD#: 8024

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/17/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/22/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/17/1982

General Securities Representative Examination

Current Firm

LAIDLAW & COMPANY (UK) LTD.

LAIDLAW & COMPANY (UK) LTD. | SANDS BROTHERS INTERNATIONAL LTD.

CRD#: 119037 / SEC#: , 8-53731

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

16 Berkeley St. Suite 7.09, London, W1J 8DZ

Mailing Address

521 5th Avenue 12th Fl, New York, NY 10175

Phone number

(212) 697-5200

Established

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LAIDLAW HOLDINGS LTD	OWNER
BELLO, JAMES ALAN	CCO	2844016
DAPONTE, ARTHUR JARROD	FINOP	7801577
EITNER, MATTHEW D	CHIEF EXECUTIVE OFFICER	3267261
REGAN, HUGH	DIRECTOR - INVESTMENT BANKING	1254114
SILVERMAN, PETER HOWARD	SEO/BRANCH MANAGER	1239510

Disclosures

Regulatory Event	9
Arbitration	4

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.

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Advisor Monitoring

Firm Stability Insights

Christopher M. Keeler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

ALEX. BROWN & SONS INCORPORATED

CIBC WORLD MARKETS CORP.

UBS FINANCIAL SERVICES INC.

MOSELEY SECURITIES CORPORATION

UNIFIED SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 1/17/2002

Series 63

Date: 5/2/1984

SIE

Date: 12/22/2017

Series 7

Date: 4/17/1982

Current Firm

LAIDLAW & COMPANY (UK) LTD.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LAIDLAW & COMPANY (UK) LTD.

TRUST BUT VERIFY

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