Keith C. Leavy
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.
Keith Christian Leavy was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1982. Keith had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 14, Series 4, Series 8, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2009 - May 1, 2015
BMO CAPITAL MARKETS GKST INC.
November 1, 2003 - May 1, 2015
BMO CAPITAL MARKETS CORP.
September 11, 2002 - May 18, 2012
BMO NESBITT BURNS TRADING CORP. S.A.
March 20, 2002 - November 1, 2003
HARRIS NESBITT CORP.
July 17, 2000 - October 2, 2001
CIBC TRADING (DELAWARE CORP.)
November 3, 1997 - October 2, 2001
CIBC WORLD MARKETS CORP.
January 1, 1997 - November 3, 1997
CIBC WOOD GUNDY SECURITIES CORP.
April 30, 1996 - December 13, 1996
NATWEST SECURITIES CORPORATION
April 1, 1996 - May 1, 1996
J.P. MORGAN SECURITIES INC.
November 18, 1982 - April 1, 1996
CHASE SECURITIES, INC.
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
Series 8
Date: 10/4/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BMO CAPITAL MARKETS GKST INC.
CRD#: 8352 / SEC#: , 8-25091
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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