Michael P. Keating
Professional summary
Michael Patrick Keating SR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Michael had worked at 5 firms, which includes BOLTON GLOBAL CAPITAL, COMMONWEALTH FINANCIAL NETWORK, KAVANAUGH SECURITIES INC., INTEGRATED RESOURCES EQUITY CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 1995 - December 3, 1997
BOLTON GLOBAL CAPITAL
July 6, 1992 - February 17, 1995
COMMONWEALTH FINANCIAL NETWORK
May 12, 1989 - July 6, 1992
KAVANAUGH SECURITIES, INC.
December 23, 1983 - June 3, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 15, 1983 - November 21, 1983
AMERIPRISE FINANCIAL SERVICES, 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
BOLTON GLOBAL CAPITAL
CRD#: 15650 / SEC#: , 8-33222
Contact information
FINRA licenses (53 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 | 11 |
| Arbitration | 3 |
| Bond | 4 |
Red Flags
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