Helen R. Keegan
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.
Helen Rita Keegan, who also goes by Helen Keegan, was a registered financial professional .
Helen is a previously registered financial professional and started their career in finance in 1982. Helen had worked at 8 firms and has passed the 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
June 21, 2018 - August 2, 2019
FIRST SOUTHERN SECURITIES, LLC.
January 3, 2006 - June 6, 2016
BNP PARIBAS SECURITIES CORP.
January 13, 2004 - December 31, 2004
PIPER SANDLER & CO.
August 31, 2001 - December 19, 2003
BNY MELLON SECURITIES LLC
April 6, 1992 - August 21, 2001
GRUNTAL & CO., L.L.C.
November 12, 1988 - September 11, 1990
O'CONNOR, PAUL & PHILLIPS, INC.
November 20, 1986 - October 29, 1988
KMS CORPORATE BROKERS, INC.
September 24, 1982 - May 27, 1986
CREDIT SUISSE SECURITIES (USA) LLC
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
FIRST SOUTHERN SECURITIES, LLC.
CRD#: 153133 / SEC#: , 8-68503
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EILER, BENJAMIN THOMAS | OWNER | 3063023 |
| HAWK, WILLIAM HEATH | PRESIDENT / CEO / ROSFP / MP | 2494928 |
| SFYRIS, VASILEIOS ALEXIOS | MANAGING PARTNER/POO | 4026992 |
| PAGAN MARXUACH, RAFAEL ANTONIO | OWNER | 2863850 |
| HOLMAN, JOHN MICHAEL | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | 1858866 |
| JACKELS, STEPHANIE KANE | FINOP/PFO | 5928877 |
Disclosures
| Regulatory Event | 1 |
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.
