Keith J. Maurer
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.
Keith Jay Maurer was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1984. Keith had worked at 8 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2005 - September 23, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 17, 2003 - July 1, 2005
LEGEND EQUITIES CORPORATION
September 6, 2001 - March 19, 2003
LOCUST STREET SECURITIES, INC.
February 27, 2001 - September 5, 2001
WALNUT STREET SECURITIES, INC.
February 23, 1999 - August 29, 2000
WALNUT STREET SECURITIES, INC.
December 1, 1997 - December 23, 1998
CAPITAL BROKERAGE CORPORATION
February 24, 1997 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
December 6, 1993 - September 18, 1996
SECURITY DISTRIBUTORS
May 29, 1984 - December 9, 1991
AMERITAS INVESTMENT COMPANY, 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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 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.
