David J. Keogh
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.
David James Keogh was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2014 - November 14, 2017
LIFEMARK SECURITIES CORP.
February 3, 2011 - August 2, 2012
HORNOR, TOWNSEND & KENT, LLC
October 24, 2008 - April 7, 2010
OSAIC FA, INC.
September 19, 2008 - April 7, 2010
OSAIC FA, INC.
November 23, 2005 - March 26, 2007
PARKER FINANCIAL CORP.
February 12, 2002 - April 30, 2004
GRAYSON FINANCIAL LLC
May 30, 1997 - January 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 28, 1995 - May 12, 1997
FIRST METROPOLITAN SECURITIES, INC.
March 13, 1995 - October 12, 1995
MEYERS POLLOCK ROBBINS, INC.
March 19, 1986 - March 24, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
Series 8
Date: 7/25/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
