Donald L. Keith
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.
Donald Lorne Keith JR was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1984. Donald had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2024 - May 15, 2024
B. RILEY WEALTH MANAGEMENT
August 18, 2020 - February 1, 2024
RAYMOND JAMES & ASSOCIATES, INC.
August 4, 2020 - February 1, 2024
RAYMOND JAMES & ASSOCIATES, INC.
February 6, 2017 - August 7, 2020
OPPENHEIMER & CO. INC.
January 3, 2003 - August 7, 2020
OPPENHEIMER & CO. INC.
August 14, 2001 - January 3, 2003
CIBC WORLD MARKETS CORP.
February 1, 2000 - August 23, 2001
J.P. MORGAN SECURITIES INC.
September 20, 1993 - February 1, 2000
HAMBRECHT & QUIST LLC
July 8, 1986 - August 30, 1993
ALEX. BROWN & SONS INCORPORATED
September 30, 1985 - July 28, 1986
ADVEST, INC.
March 12, 1985 - September 30, 1985
BURGESS & LEITH INCORPORATED
October 10, 1984 - January 3, 1985
ROBERT W. BAIRD & CO. INCORPORATED
February 24, 1984 - October 15, 1984
PENNSYLVANIA SECURITIES COMPANY
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
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
