Richard D. Keidan
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.
Richard Dale Keidan, who also goes by Richard D Keidan, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 10 firms and has passed the Series 63, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2006 - March 10, 2014
KESTRA INVESTMENT SERVICES, LLC
May 5, 2005 - February 15, 2006
HIGHCAP SECURITIES, INC.
June 26, 2003 - May 3, 2005
OSAIC FS, INC.
September 11, 1998 - November 8, 2001
WS GRIFFITH SECURITIES, INC.
September 18, 1997 - September 9, 1998
NEW ENGLAND SECURITIES
June 7, 1994 - August 15, 1995
MSI FINANCIAL SERVICES, INC.
June 7, 1994 - September 11, 1998
METROPOLITAN LIFE INSURANCE COMPANY
November 29, 1993 - April 28, 1994
WS GRIFFITH SECURITIES, INC.
June 26, 1990 - November 29, 1993
VP DISTRIBUTORS LLC
July 29, 1985 - July 19, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 1983 - June 18, 1985
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
