Keith G. Minella

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CRD#: 1163358

Professional summary

Keith Gregory Minella was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Keith is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Keith had worked at 4 firms, which includes MINELLA RICH & CO. INC., WAKEFIELD FINANCIAL CORPORATION, VANDERBILT SECURITIES INC., G. K. SCOTT & CO. INC..

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

March 21, 1988 - March 12, 1991

MINELLA, RICH & CO., INC.

CRD#: 19064

Past

January 23, 1985 - April 1, 1989

WAKEFIELD FINANCIAL CORPORATION

CRD#: 11064

Past

January 10, 1984 - January 18, 1985

VANDERBILT SECURITIES, INC.

CRD#: 14280

Past

October 18, 1983 - January 1, 1984

G. K. SCOTT & CO., INC.

CRD#: 3305

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

Series 63

Date: 3/27/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/16/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 8/17/1985

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/19/1985

General Securities Principal Examination

Current Firm

MINELLA, RICH & CO., INC.

CRD#: 19064 / SEC#: , 8-39943

Expelled by FINRA on 05/30/1991

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Contact information

Main Address

Mailing Address

Phone number

Established

Connecticut since 03/03/1988

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Red Flags

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Keith G. Minella

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MINELLA, RICH & CO., INC.

WAKEFIELD FINANCIAL CORPORATION

VANDERBILT SECURITIES, INC.

G. K. SCOTT & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/27/1985

Series 7

Date: 7/16/1983

Series 27

Date: 8/17/1985

Series 24

Date: 4/19/1985

Current Firm

MINELLA, RICH & CO., INC.

Contact information

Documents

Red Flags

Company Information

MINELLA, RICH & CO., INC.

TRUST BUT VERIFY

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