Michael Patrick Keating Sr
Professional Summary
Michael Patrick Keating SR was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1983 - 1997. Michael had worked at 5 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
BOLTON GLOBAL CAPITAL | DELTA EQUITY SERVICES CORPORATION | CLARY FINANCIAL PLANNING SERVICES INC. | CLARY FINANCIAL PLANNING SERVICES
Contact Information
Main Address
579 Main Street, Bolton, MA 01740Mailing Address
579 Main Street, Bolton, MA 01740Phone Number
(978) 779-5361Established
Massachusetts since 11/29/1984Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRENIER, RAYMOND GERARD | CHAIRMAN OF THE BOARD | 1404159 |
| BEALS, MATTHEW GEORGE | PRESIDENT AND CHIEF OPERATING OFFICER | 5157251 |
| CATALDO, JOHN GENNARO | CHIEF ADMINISTRATIVE AND LEGAL OFFICER | 5707721 |
| MAHLE, DAPHNE JANE | CHIEF COMPLIANCE OFFICER | 4367277 |
| PRESKENIS, STEVEN CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 4410822 |
| TARPEY, STEVEN R | CHIEF FINANCIAL OFFICER | 6640625 |
Disclosures
Regulatory Event
11Arbitration
3Bond
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1983About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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