Christopher P. Keating

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CRD#: 1106863

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.

Christopher Paul Keating was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1983. Christopher had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

July 15, 2011 - July 18, 2014

CUTWATER ASSET MANAGEMENT

CRD#: 37214

ARMONK, NY

Past

January 2, 2009 - June 10, 2010

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

MINNEAPOLIS, MN

Past

January 2, 2008 - January 2, 2009

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135

CAMBRDIGE, MA

Past

May 23, 2005 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 23, 2005 - December 31, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

June 17, 2002 - May 2, 2005

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

April 12, 2001 - April 29, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

July 27, 1998 - May 3, 2000

PROVIDENT DISTRIBUTORS, INC.

CRD#: 35174

KING OF PRUSSIA, PA

Past

September 3, 1997 - June 4, 1998

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

CRD#: 15654

NEW YORK, NY

Past

May 18, 1991 - March 25, 1996

MANNING & NAPIER INVESTOR SERVICES, INC.

CRD#: 26266

FAIRPORT, NY

Past

February 10, 1987 - January 1, 1991

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

March 25, 1983 - March 3, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

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

IAR

Series 65

Date: 8/16/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/27/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/24/2004

General Securities Principal Examination

Current Firm

CUTWATER ASSET MANAGEMENT

CRD#: 37214 / SEC#: 801-46649, 8-47662

Terminated by SEC on 02/19/2016

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Contact information

Main Address

200 Park Ave 7th Floor, New York, NY 10016

Mailing Address

Phone number

Established

Delaware since 12/01/1993

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

CAMC ADV PART 2A (3/31/2018)

Direct owners and executive officers

Name	Position	CRD#
CUTWATER HOLDINGS, LLC	OWNER
BRISK, GREGORY ALLAN	DIRECTOR	5859270
CORSO, CLIFFORD DEAN	CEO, DIRECTOR AND CHIEF COMPLIANCE OFFICER	2477519
FARQUHARSON, CHARLES BOWEN	DIRECTOR	5615773
HARRIS, MITCHELL EVAN	CHAIRMAN	4359464
NAUPHAL, ABDALLAH HABIB	DIRECTOR	6155611

Disclosures

Regulatory Event

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.

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Christopher P. Keating

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

RIVERSOURCE DISTRIBUTORS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

FIDELITY DISTRIBUTORS COMPANY LLC

DEUTSCHE BANK SECURITIES INC.

PROVIDENT DISTRIBUTORS, INC.

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

MANNING & NAPIER INVESTOR SERVICES, INC.

FUNDS DISTRIBUTOR, LLC

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/16/1991

Series 63

Date: 5/27/1983

Series 7

Date: 3/19/1983

Series 24

Date: 3/24/2004

Current Firm

CUTWATER ASSET MANAGEMENT

Contact information

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CUTWATER ASSET MANAGEMENT

TRUST BUT VERIFY

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