Thomas Nethery Keltner, Jr.
Professional Summary
Thomas Nethery Keltner, Jr., who also goes by Thomas N Jr Keltner, Thomas Nethery Keltner Jr, Thomas Nethery (jr) Keltner, Tom Keltner Jr, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1983 - 2014. Thomas had worked at 1 firm and has passed the Series 63 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas N Jr Keltner, Thomas Nethery Keltner Jr, Thomas Nethery (jr) Keltner, Tom Keltner Jr
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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
42 years in the financial services industry
Current & Past Employments
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Current Firm
MALKIN SECURITIES CORP. | WM&B SECURITIES CORP. | WIEN, MALKIN & BETTEX SECURITIES CORP. | WIEN & MALKIN SECURITIES CORP.
Contact Information
Established
New York since 07/06/1981Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MALKIN, ANTHONY EDWARD | SHAREHOLDER, DIRECTOR, VICE CHAIRMAN | 2158801 |
| BLUMENTHAL, CYNTHIA M | SHAREHOLDER OF NON-VOTING STOCK | — |
| MALKIN, ANDREW L B | SHAREHOLDER OF NON-VOTING STOCK | — |
| MALKIN, GEORGE L W | SHAREHOLDER OF NON-VOTING STOCK | — |
| ELIZABETH MALKIN 2009 TRUST | SHAREHOLDER OF NON-VOTING STOCK | — |
| EMILY MALKIN 2010 TRUST | SHAREHOLDER OF NON-VOTING STOCK | — |
| LOUISA R MALKIN 2010 TRUST | SHAREHOLDER OF NON-VOTING STOCK | — |
| REBECCA S MALKIN 2010 TRUST | SHAREHOLDER OF NON-VOTING STOCK | — |
| COHEN, NED H | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 3169538 |
| KELTNER, THOMAS NETHERY JR | PRESIDENT, DIRECTOR, SECRETARY | 1090845 |
| LABELL, MARK | EXECUTIVE VICE PRESIDENT, FINANCE; TREASURER | — |
| MALKIN, PETER LAURENCE | SHAREHOLDER, DIRECTOR, CHAIRMAN | 1317950 |
Disclosures
Regulatory Event
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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.
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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 39 — Direct Participation Programs Principal Examination
Passed May 1984About the Series 39 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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