John L. Keating
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.
John Lindsay Keating was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 29, 2016 - February 1, 2017
ACS EXECUTION SERVICES, LLC
May 28, 2015 - February 23, 2016
ESSEX RADEZ LLC
July 7, 2011 - June 18, 2013
WILLIAM BLAIR
May 6, 2005 - April 18, 2011
FM PARTNERS HOLDINGS LLC
February 4, 2003 - May 10, 2005
LAZARD FRERES & CO. LLC
March 22, 1984 - February 7, 2003
PRUDENTIAL EQUITY GROUP, LLC
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: 3/1/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ACS EXECUTION SERVICES, LLC
CRD#: 17972 / SEC#: , 8-36005
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
