Jay F. Keeton
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.
Jay Frederick Keeton was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1984. Jay had worked at 2 firms and has passed the Series 63, Series 15, Series 7, Series 27 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
March 11, 1986 - July 26, 1988
MARTIN NELSON & CO., INC.
April 18, 1984 - February 24, 1986
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
MARTIN NELSON & CO., INC.
CRD#: 2903 / SEC#: 801-123009, 8-831
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 15
Date: 4/5/1985
Foreign Currency Options ExaminationCurrent Firm
MARTIN NELSON & CO., INC.
CRD#: 2903 / SEC#: 801-123009, 8-831
Contact information
SEC notice filing (9 States and Territories)
FINRA licenses (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 392 |
| AUM (Assets Under Management) | $ 260,010,706 |
Disclosures
| Regulatory Event | 4 |
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.
