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TK

Thomas N. Keltner, Jr.

Some features on this profile are disabled
CRD#: 1090845
TK

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.

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 professional .

Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 1 firm and has passed the Series 63 and Series 39 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas N Jr Keltner | Thomas Nethery Keltner Jr | Thomas Nethery (jr) Keltner | Tom Keltner Jr

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 6, 1983 - March 24, 2014

MALKIN SECURITIES CORP.

BD
CRD#: 14305
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/13/1984
Uniform Securities Agent State Law Examination
Principal/Supervisory Exam
RR
Series 39
Date: 5/29/1984
Direct Participation Programs Principal Examination

Current Firm

MS
MALKIN SECURITIES CORP.
MALKIN SECURITIES CORP. | WM&B SECURITIES CORP. | WIEN, MALKIN & BETTEX SECURITIES CORP. | WIEN & MALKIN SECURITIES CORP.

CRD#: 14305 / SEC#: , 8-28866

BD
Terminated by SEC on 05/05/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 07/06/1981
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MALKIN, ANTHONY EDWARDSHAREHOLDER, DIRECTOR, VICE CHAIRMAN2158801
BLUMENTHAL, CYNTHIA MSHAREHOLDER OF NON-VOTING STOCK
MALKIN, ANDREW L BSHAREHOLDER OF NON-VOTING STOCK
MALKIN, GEORGE L WSHAREHOLDER OF NON-VOTING STOCK
ELIZABETH MALKIN 2009 TRUSTSHAREHOLDER OF NON-VOTING STOCK
EMILY MALKIN 2010 TRUSTSHAREHOLDER OF NON-VOTING STOCK
LOUISA R MALKIN 2010 TRUSTSHAREHOLDER OF NON-VOTING STOCK
REBECCA S MALKIN 2010 TRUSTSHAREHOLDER OF NON-VOTING STOCK
COHEN, NED HEXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER3169538
KELTNER, THOMAS NETHERY JRPRESIDENT, DIRECTOR, SECRETARY1090845
LABELL, MARKEXECUTIVE VICE PRESIDENT, FINANCE; TREASURER
MALKIN, PETER LAURENCESHAREHOLDER, DIRECTOR, CHAIRMAN1317950

Disclosures

Regulatory Event3

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.

Company Information

MALKIN SECURITIES CORP.

CRD#: 14305

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