Carol C. Keitges
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.
Carol Colleen Keitges, who also goes by Hout Keitges, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1983. Carol had worked at 6 firms and has passed the Series 63, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 1994 - July 23, 1997
MARKETING ONE SECURITIES, INC.
November 19, 1993 - January 28, 1994
WELLS FARGO SECURITIES INC.
December 17, 1990 - November 19, 1993
MARKETING ONE SECURITIES, INC.
May 14, 1990 - December 20, 1990
EDWARD JONES
October 22, 1986 - November 14, 1989
AFFILIATED FINANCIAL SERVICES, INC.
September 13, 1985 - December 24, 1985
LPL FINANCIAL LLC
December 21, 1983 - September 16, 1985
INVEST FINANCIAL 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
MARKETING ONE SECURITIES, INC.
CRD#: 16611 / SEC#: , 8-34263
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARKETING ONE, INC. | OWNER | |
| ANDRE, LESLIE ELAINE | VP / DIRECTOR OF COMPLIANCE | 712461 |
| BOWER, JOHN CARROLL | DIRECTOR | 1466042 |
| HILLIKER, JAMES RICHARD | OPS/SROP/PRINCIPAL/VP | 874277 |
| MARSH, RONALD STEVEN | CROP | 2241694 |
| NIPOTI, PETER EDWARD | PRESIDENT / DIRECTOR | 2462962 |
| SILVERMAN, SCOTT | DIRECTOR | 3265096 |
| TEMPLE, DOUGLAS M | FIN OP/VP/TREASURER/ASST. SEC. | 2682868 |
Disclosures
| Regulatory Event | 5 |
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.
