Philippe N. Keyes
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.
Philippe Noel Keyes, who also goes by Flip Keyes, Philippe Keyes, Philippe Noel Keys, was a registered financial professional .
Philippe is a previously registered financial professional and started their career in finance in 1987. Philippe had worked at 11 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2002 - April 9, 2002
SPELMAN & CO., INC.
April 5, 2000 - November 28, 2001
INVESTORS CAPITAL CORP.
March 2, 1999 - April 10, 2000
VOYA FINANCIAL ADVISORS, INC.
February 25, 1998 - December 31, 1998
WMA SECURITIES, INC.
April 11, 1997 - March 23, 1998
SPELMAN & CO., INC.
April 10, 1996 - May 9, 1997
PIM FINANCIAL SERVICES, INC.
January 28, 1993 - December 31, 1995
MARINER FINANCIAL SERVICES, INC.
August 6, 1991 - December 1, 1992
ARM SECURITIES CORPORATION
October 26, 1989 - November 28, 1990
IDS LIFE INSURANCE COMPANY
October 26, 1989 - November 28, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
April 10, 1989 - December 5, 1989
CETERA WEALTH SERVICES, LLC
April 28, 1987 - April 10, 1989
AMERICAN PACIFIC SECURITIES CORPORATION
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
Current Firm
SPELMAN & CO., INC.
CRD#: 10232 / SEC#: , 8-26811
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP, INC. | OWNER | |
| BOURDAMIS, SALLY HANSON | VICE PRESIDENT, BROKERAGE SERVICES | 1812157 |
| CANNON, JAMES RICHARD | PRESIDENT,CEO,DIRECTOR | 1755987 |
| CAPRIOTTI, JACQUELYN MARIE | VICE PRESIDENT, VISION 2020 | 1575021 |
| CAVANAUGH, MARY LOUISE | DIRECTOR | 1977110 |
| DENBY, SUSANNE MARIE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2617514 |
| DORFMAN, KENNETH PAUL | CROP | 2460380 |
| FIELDS, INGER WILSON | FINOP | 1690043 |
| FREEMAN, BRUCE TODD | ASSOCIATE VICE PRESIDENT, MUNICIPAL PRINCIPAL | 2451499 |
| GAUGHAN, BRIDGET MARY | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY | 2691949 |
| GAUGHAN, BRIDGET MARY | DIRECTOR | 2691949 |
| KUBICA, LISA SUE | EXECUTIVE VICE PRESIDENT, SROP, MP | 1098488 |
| MCREYNOLDS, MICHAEL RONALD | ASSISTANT VICE PRESIDENT, INSURANCE | 816602 |
| PARKER, RALPH JOEL | ASSISTANT VICE PRESIDENT, INSURANCE | 2587496 |
| RADFORD, CHRISTOPHER BLAKE | SENIOR VICE PRESIDENT, NATIONAL SALES | 1564302 |
| ROTHSTEIN, STEVEN ELLIOT | DIRECTOR | 1292456 |
| ROTHSTEIN, STEVEN ELLIOT | EXECUTIVE VICE PRESIDENT, CFO/TREASURER | 1292456 |
| SONCHIK, RITA LYNN | VICE PRESIDENT, ACCOUNTING | 1865389 |
| STAUFFER, RALPH OWEN JR | VICE PRESIDENT, INFORMATION TECHNOLOGY | 3255670 |
Disclosures
| Regulatory Event | 8 |
| 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.
