Keith R. Wilson

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CRD#: 1133791

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.

Keith Ross Wilson was a registered financial professional .

Keith is a previously registered financial professional and started their career in finance in 1983. Keith had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 24 and Series 30 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

May 13, 2016 - October 24, 2016

PENSERRA GLOBAL INVESTORS LLC

RIA

CRD#: 174309

Orinda, CA

Past

April 1, 2016 - October 24, 2016

PENSERRA CAPITAL MANAGEMENT LLC

RIA

CRD#: 159042

Orinda, CA

Past

September 22, 2014 - October 24, 2016

PENSERRA SECURITIES, LLC

CRD#: 145994

ORINDA, CA

Past

July 31, 2013 - May 27, 2014

BNY MELLON SECURITIES CORPORATION

CRD#: 231

SAN FRANCISCO, CA

Past

March 25, 1998 - August 10, 2005

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

August 29, 1996 - February 13, 1998

JPMSI

CRD#: 15733

NEW YORK, NY

Past

June 25, 1987 - July 16, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

May 26, 1983 - July 16, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PENSERRA GLOBAL INVESTORS LLC

PENSERRA GLOBAL INVESTORS LLC | PENSERRA TRANSITION MANAGEMENT LLC | PENSERRA INTERNATIONAL SUSTAINABLE SMALL CAP EQUITY FUND, LLC | PENSERRA INTERNATIONAL LARGE CAP EQUITY

CRD#: 174309 / SEC#: 801-131133

RIA

Registered Investment Advisory firm - (9/17/2024 Approved)

California

Registered Investment Advisory firm - (1/16/2025 Terminated)

New York

Registered Investment Advisory firm - (12/17/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/30/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/5/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/24/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/13/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/31/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/27/2013

General Securities Principal Examination

Principal/Supervisory Exam

Series 30

Date: 10/15/1996

NFA Branch Manager Examination

Current Firm

PENSERRA GLOBAL INVESTORS LLC

PENSERRA GLOBAL INVESTORS LLC | PENSERRA TRANSITION MANAGEMENT LLC | PENSERRA INTERNATIONAL SUSTAINABLE SMALL CAP EQUITY FUND, LLC | PENSERRA INTERNATIONAL LARGE CAP EQUITY

CRD#: 174309 / SEC#: 801-131133

RIA

Registered Investment Advisory firm - (9/17/2024 Approved)

California

Registered Investment Advisory firm - (1/16/2025 Terminated)

New York

Registered Investment Advisory firm - (12/17/2024 Terminated)

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Contact information

Main Address

4 Orinda Way Suite 100-a, Orinda, CA 94563

Mailing Address

Phone number

(800) 456-8850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV 2A (3/6/2025)

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 1,036,000

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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Firm Stability Insights

Keith R. Wilson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PENSERRA CAPITAL MANAGEMENT LLC

PENSERRA SECURITIES, LLC

BNY MELLON SECURITIES CORPORATION

DEUTSCHE BANK SECURITIES INC.

JPMSI

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PENSERRA GLOBAL INVESTORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/30/2016

Series 63

Date: 2/5/1988

SIE

Date: 10/24/2016

Series 3

Date: 11/13/2013

Series 7

Date: 7/31/2013

Series 24

Date: 8/27/2013

Series 30

Date: 10/15/1996

Current Firm

PENSERRA GLOBAL INVESTORS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PENSERRA GLOBAL INVESTORS LLC

TRUST BUT VERIFY

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